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 Phillip Weingard | 5550042 | 1 | 08/06/2020 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Russell William Stein | 434765 | 3 | 08/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Mesa Beaver | 3162582 | 1 | 07/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kendrick R Patterson | 7165108 | 1 | 07/02/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Martin Chris Gruner | 2978088 | 2 | 06/23/2020 | Customer Dispute | Settled | $5,162,450.00 | $0.00 | See FINRA Report |
| James Kelley Vaughn | 1947750 | 1 | 05/26/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Snipes | 2182199 | 5 | 04/30/2020 | Customer Dispute | Settled | $8,082.00 | $0.00 | See FINRA Report |
| Mark Douglas Sullivan | 2398532 | 1 | 04/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Russell Saylor | 3155003 | 1 | 04/13/2020 | Customer Dispute | Denied | $10,684.00 | $0.00 | See FINRA Report |
| Martin Chris Gruner | 2978088 | 2 | 04/13/2020 | Customer Dispute | Denied | $308,000.00 | $0.00 | See FINRA Report |