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 |
|---|---|---|---|---|---|---|---|---|
| Richard Boyd Swift | 3082572 | 1 | 08/28/2024 | Customer Dispute | Pending | $28,783.20 | $0.00 | See FINRA Report |
| Jared Kenneth Kirby | 5990489 | 1 | 08/19/2024 | Customer Dispute | Pending | $10,667.00 | $0.00 | See FINRA Report |
| Lisa C Esteves-Dixon | 2274989 | 2 | 08/19/2024 | Customer Dispute | Pending | $10,667.00 | $0.00 | See FINRA Report |
| Mark Joel Rubin | 1936202 | 3 | 06/28/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Pasquale Evangelista | 2443782 | 1 | 06/24/2024 | Customer Dispute | Pending | $277,686.00 | $0.00 | See FINRA Report |
| Paul Joseph Stanislau | 1376287 | 3 | 06/14/2024 | Customer Dispute | Denied | $9,550.00 | $0.00 | See FINRA Report |
| Karen Lorraine Glenton | 4121235 | 1 | 06/14/2024 | Customer Dispute | Denied | $9,550.00 | $0.00 | See FINRA Report |
| James Vernon Hart | 1122114 | 3 | 06/13/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Benjamin N Bayly | 4772888 | 2 | 04/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stevan Douglas Paton | 2212011 | 3 | 04/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |