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 |
|---|---|---|---|---|---|---|---|---|
| Mark Russel Kean | 1269587 | 6 | 04/20/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Lee Liley | 4493570 | 1 | 03/31/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan William Ames | 3263181 | 2 | 03/23/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Enrique Marcelo Gumucio | 5779248 | 1 | 02/11/2015 | Customer Dispute | Final | $1,000,000.00 | $0.00 | See FINRA Report |
| Geoffrey Case Gatlin | 2923439 | 5 | 11/24/2014 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Philip Lucian Thomas | 2046737 | 1 | 11/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chester Jackson Sheffield | 1740544 | 2 | 11/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Spires | 2994653 | 3 | 11/20/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Dustin Wilder | 3134091 | 1 | 11/20/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christian Ernst Langenstein | 1535975 | 4 | 10/16/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |