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 |
|---|---|---|---|---|---|---|---|---|
| Dax Aaron Seale | 5631159 | 2 | 05/23/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 4 | 05/16/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Baine Kelley | 2024738 | 1 | 05/10/2019 | Customer Dispute | Denied | $30,486.00 | $0.00 | See FINRA Report |
| Christopher Robert Garner | 6818520 | 1 | 04/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marina Sonya Tudela | 2269112 | 3 | 03/04/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Pugan | 1739836 | 1 | 02/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 01/31/2019 | Customer Dispute | Denied | $8,576.00 | $0.00 | See FINRA Report |
| Grigori Lvov | 4638797 | 1 | 01/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Shaun Conner | 2788355 | 1 | 01/18/2019 | Customer Dispute | Settled | $10,457.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 01/15/2019 | Customer Dispute | Denied | $199,467.00 | $0.00 | See FINRA Report |