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 |
|---|---|---|---|---|---|---|---|---|
| Maria Jose Pessoa | 1739550 | 1 | 12/12/2008 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| James David Yarbrough | 3217027 | 2 | 11/21/2008 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Michael Martin Cohen | 1266595 | 1 | 11/14/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 10/31/2008 | Customer Dispute | Closed-No Action | $19,575.00 | $0.00 | See FINRA Report |
| Perry Allen Brown | 1099484 | 1 | 10/20/2008 | Customer Dispute | Closed-No Action | $10,247.50 | $0.00 | See FINRA Report |
| Thomas Alva Whitehurst | 1510137 | 2 | 10/17/2008 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Rene Antonio Dierkes | 1705690 | 2 | 10/01/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Daniel David Herman | 2860588 | 3 | 09/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 09/19/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Beverly Dawson | 1010418 | 1 | 08/26/2008 | Customer Dispute | Closed-No Action | $225,000.00 | $0.00 | See FINRA Report |