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 |
|---|---|---|---|---|---|---|---|---|
| William Bruce Body | 1547342 | 5 | 03/22/2024 | Customer Dispute | Denied | $64,150.40 | $0.00 | See FINRA Report |
| Ryan P Jordan | 6694866 | 2 | 03/21/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Kurt H Klingenberg | 2384065 | 2 | 02/02/2024 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Roman Sazonov | 5315048 | 2 | 01/30/2024 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Christina Marie Abbey | 6262403 | 1 | 01/29/2024 | Customer Dispute | Denied | $187,000.00 | $0.00 | See FINRA Report |
| Ira Michael Bauman | 1079115 | 3 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Michael Madden | 6058173 | 1 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Harrison Lloyd Bauman | 5225710 | 2 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Steven Wallace Schmitt | 4486457 | 1 | 12/18/2023 | Customer Dispute | Pending | $385,161.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 12/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |