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 |
|---|---|---|---|---|---|---|---|---|
| Kimball Stanley III Bullard | 3218049 | 6 | 12/17/2013 | Customer Dispute | Denied | $25,612.00 | $0.00 | See FINRA Report |
| Ira Michael Bauman | 1079115 | 3 | 12/02/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Roland Valadez | 2525792 | 3 | 11/20/2013 | Customer Dispute | Denied | $66,299.10 | $0.00 | See FINRA Report |
| Roger Keith Renfro | 4535347 | 1 | 10/29/2013 | Customer Dispute | Denied | $19,130.40 | $0.00 | See FINRA Report |
| Brian A Karahalios | 5255721 | 2 | 09/11/2013 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Kathy Pettis Cunningham | 2383475 | 1 | 07/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Thomas Preissler | 3263522 | 3 | 06/20/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Allen Johnson | 2256716 | 2 | 05/20/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Hugh Sasser | 2749107 | 2 | 04/09/2013 | Customer Dispute | Denied | $18,200.00 | $0.00 | See FINRA Report |
| Matthew McKinney Garnett | 5480990 | 1 | 03/01/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |