Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Samuel C Gross | 1393910 | 2 | 07/17/2010 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 01/08/2010 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Michael Lawrence Goldman | 2038294 | 1 | 08/21/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dana Paul Goldfarb | 707304 | 5 | 06/26/2009 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Gary Steven Weiss | 2294984 | 3 | 05/08/2009 | Customer Dispute | Closed-No Action | $160,000.00 | $0.00 | See FINRA Report |
| Howard Gilford Johnson | 4739303 | 4 | 05/06/2009 | Customer Dispute | Closed-No Action | $5,834.00 | $0.00 | See FINRA Report |
| Dana Paul Goldfarb | 707304 | 5 | 04/07/2009 | Customer Dispute | Closed-No Action | $210,000.00 | $0.00 | See FINRA Report |
| Thomas Sutherland Pfeifer | 2335221 | 3 | 03/05/2009 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Matthew Flynn | 4782485 | 4 | 03/02/2009 | Customer Dispute | Closed-No Action | $48,795.00 | $0.00 | See FINRA Report |
| John Benson Davison | 2278177 | 1 | 02/25/2009 | Customer Dispute | Closed-No Action | $5,007.00 | $0.00 | See FINRA Report |