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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey William Moore | 3094211 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Anne Landry | 1967111 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/04/2021 | Customer Dispute | Settled | $4,209,000.00 | $0.00 | See FINRA Report |
| Allan E Weiss | 5520555 | 1 | 12/15/2020 | Customer Dispute | Closed-No Action | $116,500.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 11/23/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Glenn August Pahnke | 1803352 | 3 | 11/01/2020 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 09/18/2020 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Barry Marc Sobel | 2014407 | 1 | 09/15/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Nancy Hand Weingard | 867582 | 1 | 08/20/2020 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 08/17/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |