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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Erik Zenker | 2711588 | 5 | 05/10/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brent C Hulling | 4811354 | 1 | 05/03/2016 | Customer Dispute | Denied | $14,480.30 | $0.00 | See FINRA Report |
| Ghalib Abdulla Kanji | 2675795 | 3 | 04/29/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Altizer | 2212400 | 1 | 04/01/2016 | Customer Dispute | Settled | $1,445,830.00 | $0.00 | See FINRA Report |
| Peppi Pence Talley | 1447305 | 1 | 03/23/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Francis Avonda | 4512330 | 1 | 03/22/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Spencer Jay Lynch | 1455455 | 1 | 03/22/2016 | Customer Dispute | Denied | $345,000.00 | $0.00 | See FINRA Report |
| Michael Jay Shapiro | 2872328 | 5 | 03/21/2016 | Customer Dispute | Denied | $21,269.70 | $0.00 | See FINRA Report |
| Joseph Alan Marshall | 320785 | 4 | 03/13/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laura Ellen Blanton | 5099627 | 1 | 02/19/2016 | Customer Dispute | Denied | $5,530.00 | $0.00 | See FINRA Report |