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 Charles Hinesley | 4376046 | 2 | 02/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Scott Kristofer Patterson | 4289857 | 1 | 01/31/2020 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Dax Aaron Seale | 5631159 | 2 | 01/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher S Weng | 2413401 | 2 | 01/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 12/16/2019 | Customer Dispute | Settled | $256,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Seiler | 2670659 | 2 | 12/10/2019 | Customer Dispute | Denied | $522,000.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Harless | 1882246 | 3 | 12/06/2019 | Customer Dispute | Denied | $82,722.70 | $0.00 | See FINRA Report |
| Seraphim M Rine | 4305797 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Patricia Lynn Sans | 1155239 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Richard Lee Snipes | 2182199 | 5 | 11/01/2019 | Customer Dispute | Denied | $153,000.00 | $0.00 | See FINRA Report |