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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Louis Silverman | 500504 | 8 | 10/16/2019 | Customer Dispute | Denied | $9,794.89 | $0.00 | See FINRA Report |
| John William Cassin | 5880730 | 1 | 10/13/2019 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| James Frederick Alioto | 827086 | 1 | 10/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Troy Howard | 2264121 | 3 | 09/20/2019 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 09/16/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Yaakov Ari Ringler | 4419944 | 2 | 08/21/2019 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 08/05/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Kerrie Leigh Milligan | 4276095 | 3 | 07/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Henry Hauser | 717465 | 2 | 06/26/2019 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| David Anderson Alford | 1711320 | 3 | 06/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |