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 |
|---|---|---|---|---|---|---|---|---|
| Steven Alec Bushman | 1448826 | 4 | 03/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Frank Tourangeau | 4395024 | 1 | 02/28/2017 | Customer Dispute | Closed-No Action | $6,162.76 | $0.00 | See FINRA Report |
| Suzanne Catherine Latour | 1893219 | 1 | 02/09/2017 | Customer Dispute | Settled | $98,172.20 | $0.00 | See FINRA Report |
| Mark Todd Holbert | 3169468 | 1 | 02/06/2017 | Customer Dispute | Settled | $1,474,470.00 | $0.00 | See FINRA Report |
| Darryl Douglas Dunn | 5256054 | 1 | 01/03/2017 | Customer Dispute | Denied | $6,019.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 01/02/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 12/19/2016 | Customer Dispute | Settled | $48,982.40 | $0.00 | See FINRA Report |
| Alan Robert Rosenberg | 4156676 | 3 | 12/15/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Ross Stuart Eng | 2617937 | 2 | 12/08/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Joseph Kelly | 4288692 | 2 | 11/03/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |