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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Moreno | 3120834 | 1 | 10/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ian Stuart Rice | 4738666 | 1 | 09/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Heather Eskew | 5863985 | 3 | 09/11/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel V Glatthorn | 4228314 | 1 | 01/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex Kongkraphun | 4246520 | 2 | 11/27/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Thorton Edwards | 4967089 | 1 | 11/27/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex Kongkraphun | 4246520 | 2 | 09/23/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sharon Ann Kaylor | 2508459 | 3 | 09/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Vincent Obrzut | 4939583 | 2 | 06/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lloyd Casso | 4708651 | 1 | 01/20/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |