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 |
|---|---|---|---|---|---|---|---|---|
| Marina Sonya Tudela | 2269112 | 3 | 04/16/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven James Hocking | 4506824 | 1 | 04/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Romain Spell | 5644797 | 1 | 03/17/2021 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Alexander Q de Oliveira | 2732811 | 2 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Rodrigo Sideris | 4663498 | 1 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Andres Castillo | 5961912 | 1 | 02/28/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy William Gibson | 2699533 | 1 | 02/12/2021 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| W Mark Parker | 2650203 | 1 | 02/04/2021 | Customer Dispute | Award / Judgment | $2,526,000.00 | $0.00 | See FINRA Report |
| Joseph James Klauzar | 2741063 | 1 | 01/25/2021 | Customer Dispute | Denied | $27,540.00 | $0.00 | See FINRA Report |
| Charles William Gillingham | 2521606 | 3 | 01/22/2021 | Customer Dispute | Denied | $589,379.00 | $0.00 | See FINRA Report |