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 |
|---|---|---|---|---|---|---|---|---|
| Taryn P Moll | 1529881 | 1 | 01/15/2019 | Customer Dispute | Denied | $632,332.00 | $0.00 | See FINRA Report |
| Erold Merko | 5404228 | 2 | 01/15/2019 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Lyndon L Davis | 5217885 | 1 | 01/03/2019 | Customer Dispute | Settled | $995,000.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 11/27/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Diane Kimberley Fisher | 1125776 | 3 | 11/15/2018 | Customer Dispute | Closed-No Action | $253,285.00 | $0.00 | See FINRA Report |
| Marc Allen Miller | 4521825 | 4 | 11/05/2018 | Customer Dispute | Settled | $492,158.00 | $0.00 | See FINRA Report |
| Donald Marshall Cox | 716663 | 2 | 11/01/2018 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 10/30/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David McWilliam Lucas | 840978 | 1 | 09/28/2018 | Customer Dispute | Denied | $328,765.00 | $0.00 | See FINRA Report |
| Frank Jerome Grossman | 1669231 | 3 | 09/05/2018 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |