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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Pesce | 5525710 | 1 | 05/17/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Charles Michael Cooper | 2245955 | 3 | 05/17/2017 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Emily B Fernberger | 2391704 | 2 | 05/16/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Philip Charles Ohman | 1286497 | 1 | 05/15/2017 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ashley Susan Thomas | 6113333 | 1 | 05/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Duane Yoder | 2231648 | 1 | 05/08/2017 | Customer Dispute | Settled | $1,128,410.00 | $0.00 | See FINRA Report |
| Matthew August Glatz | 2894881 | 1 | 05/08/2017 | Customer Dispute | Settled | $1,128,410.00 | $0.00 | See FINRA Report |
| Andrew Patrick Boone | 2951077 | 1 | 04/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Adler | 819059 | 1 | 04/24/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Allen Figg | 5383241 | 2 | 03/13/2017 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |