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 |
|---|---|---|---|---|---|---|---|---|
| Donald James Simpson | 715971 | 1 | 12/01/1986 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 08/28/1986 | Customer Dispute | Award / Judgment | $36,000.00 | $137,502.00 | See FINRA Report |
| Michael Derry Hilger | 728238 | 1 | 05/27/1986 | Customer Dispute | Award / Judgment | $9,291.00 | $5,200.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/22/1985 | Customer Dispute | Settled | $79,190.00 | $0.00 | See FINRA Report |
| Christopher John Leavy | 1056067 | 3 | 09/14/1984 | Customer Dispute | Award / Judgment | $5,600.00 | $681.21 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 01/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |