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 |
|---|---|---|---|---|---|---|---|---|
| William Howard Keaton | 2467121 | 1 | 07/20/2016 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Ruth Louise Doepel | 2717082 | 2 | 06/29/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Solon Elliott | 1405452 | 5 | 06/24/2016 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| J J Heaton | 4888864 | 1 | 06/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Preston Covington | 1302068 | 5 | 05/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brent C Hulling | 4811354 | 1 | 05/03/2016 | Customer Dispute | Denied | $14,480.30 | $0.00 | See FINRA Report |
| Peppi Pence Talley | 1447305 | 1 | 03/23/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Francis Avonda | 4512330 | 1 | 03/22/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Spencer Jay Lynch | 1455455 | 1 | 03/22/2016 | Customer Dispute | Denied | $345,000.00 | $0.00 | See FINRA Report |
| Michael Jay Shapiro | 2872328 | 5 | 03/21/2016 | Customer Dispute | Denied | $21,269.70 | $0.00 | See FINRA Report |