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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Cole Sullivan | 4492430 | 2 | 10/28/2011 | Customer Dispute | Denied | $54,500.00 | $0.00 | See FINRA Report |
| Andrew George Sukhin | 2102283 | 9 | 09/30/2011 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Diane Kimberley Fisher | 1125776 | 3 | 09/26/2011 | Customer Dispute | Denied | $270,000.00 | $0.00 | See FINRA Report |
| David Eugene Williams | 2214906 | 2 | 09/22/2011 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Rhonda Lynn Rommel | 2558821 | 2 | 08/28/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy McIntyre Belton | 1183771 | 3 | 08/23/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Ian Leyton | 1730251 | 2 | 08/09/2011 | Customer Dispute | Denied | $8,123,830.00 | $0.00 | See FINRA Report |
| Arthur Leo Coleman | 847936 | 3 | 08/09/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Ghalib Abdulla Kanji | 2675795 | 3 | 05/20/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stanwood Chandler Sweetser | 2165198 | 4 | 05/20/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |