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 |
|---|---|---|---|---|---|---|---|---|
| Erik W Weiss | 5005231 | 1 | 12/04/2015 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Theresa Bursey | 4868668 | 1 | 11/02/2015 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Beau Jonathan Miller | 4900021 | 1 | 10/20/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy McIntyre Belton | 1183771 | 3 | 09/28/2015 | Customer Dispute | Denied | $13,231.70 | $0.00 | See FINRA Report |
| Mark Vincent Watroba | 1746201 | 1 | 09/14/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Vincent Obrzut | 4939583 | 2 | 09/13/2015 | Customer Dispute | Denied | $28,325.00 | $0.00 | See FINRA Report |
| Jackson M Stewart | 5719947 | 1 | 09/13/2015 | Customer Dispute | Denied | $28,325.00 | $0.00 | See FINRA Report |
| Christopher J Bolle | 1412298 | 1 | 09/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Todd Schaefer | 2469116 | 2 | 08/27/2015 | Customer Dispute | Settled | $112,000.00 | $0.00 | See FINRA Report |
| George Edward Mathis | 4271854 | 3 | 08/24/2015 | Customer Dispute | Closed-No Action | $17,946.90 | $0.00 | See FINRA Report |