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 |
|---|---|---|---|---|---|---|---|---|
| James J Dowd | 1155775 | 6 | 08/03/1992 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Ronald Rikio Ban | 1810619 | 2 | 07/21/1992 | Customer Dispute | Award / Judgment | $26,631.00 | $8,422.33 | See FINRA Report |
| Paul Wesley Enoch | 1560468 | 2 | 07/13/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Rea Yates | 1421661 | 2 | 05/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lee Brian Schierloh | 1359644 | 1 | 03/30/1992 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Christopher John Leavy | 1056067 | 3 | 03/04/1992 | Customer Dispute | Award / Judgment | $3,120.00 | $2,155.00 | See FINRA Report |
| David Roger Gaeckler | 1059215 | 4 | 02/14/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $42,000.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 02/10/1992 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Alan Miles Griffin | 853835 | 3 | 01/10/1992 | Customer Dispute | Settled | $32,288.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 11/14/1991 | Customer Dispute | Award / Judgment | $214,000.00 | $55,000.00 | See FINRA Report |