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 |
|---|---|---|---|---|---|---|---|---|
| Robert Hugh Sasser | 2749107 | 2 | 05/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Efstathios George Kanteliotis | 3087943 | 1 | 05/21/2014 | Customer Dispute | Award / Judgment | $0.00 | $50,000.00 | See FINRA Report |
| Stephen H Gitter | 722248 | 1 | 05/21/2014 | Customer Dispute | Award / Judgment | $0.00 | $50,000.00 | See FINRA Report |
| Philip Joseph Maniaci | 4216092 | 1 | 04/09/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michele Edna Lemire | 2245508 | 1 | 04/07/2014 | Customer Dispute | Settled | $7,427.66 | $0.00 | See FINRA Report |
| Andrew Miller Saunders | 1877442 | 2 | 04/04/2014 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| C Kemper Wharton | 2024584 | 1 | 04/01/2014 | Customer Dispute | Denied | $1,865,150.00 | $0.00 | See FINRA Report |
| John Mark Pickering | 1769314 | 1 | 03/28/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Lisa Lynn Stella | 1628629 | 2 | 03/11/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Sean William Fitzpatrick | 4546140 | 2 | 02/28/2014 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |