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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Jason Werner | 4843116 | 1 | 06/12/2023 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| Andrew M Waldbaum | 3086061 | 1 | 06/12/2023 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |
| Thomas Ross | 1684485 | 1 | 05/08/2023 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| Nicholas David Olivas | 6803146 | 1 | 01/28/2023 | Customer Dispute | Denied | $117,949.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/13/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Yates Johnson | 6801934 | 1 | 01/10/2023 | Customer Dispute | Denied | $16,326.90 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 12/16/2022 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Erold Merko | 5404228 | 2 | 12/01/2022 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |