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 |
|---|---|---|---|---|---|---|---|---|
| Kimball Stanley III Bullard | 3218049 | 6 | 03/15/2018 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Linda Joan Fulgenzi | 1721704 | 3 | 02/14/2018 | Customer Dispute | Denied | $24,820.80 | $0.00 | See FINRA Report |
| Cristina Curiale | 6270160 | 1 | 02/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Bernard Tropea | 1762582 | 1 | 01/29/2018 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 01/04/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Napolitano | 1177646 | 1 | 12/18/2017 | Customer Dispute | Closed-No Action | $450,000.00 | $0.00 | See FINRA Report |
| Jeffrey Gordon Hull | 1856407 | 3 | 11/19/2017 | Customer Dispute | Denied | $66,000.00 | $0.00 | See FINRA Report |
| Nichola S Agins | 2920530 | 1 | 10/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kim Marie Ohler | 1276709 | 1 | 10/16/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 10/03/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |