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 |
|---|---|---|---|---|---|---|---|---|
| David Vincent Schrader | 415015 | 1 | 01/11/2010 | Customer Dispute | Denied | $74,370.50 | $0.00 | See FINRA Report |
| Astrid Rodriguez-Carranza | 2857018 | 2 | 12/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 12/18/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark McCoy Barber | 4432502 | 1 | 12/08/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mark James McHugh | 1770810 | 1 | 12/08/2009 | Customer Dispute | Denied | $269,973.00 | $0.00 | See FINRA Report |
| Scott Edward Tabor | 2233071 | 2 | 11/30/2009 | Customer Dispute | Denied | $136,700.00 | $0.00 | See FINRA Report |
| James Preston Covington | 1302068 | 5 | 11/12/2009 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Stuart Alan Reid | 1845050 | 1 | 11/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allen Newton Jones | 2650383 | 2 | 11/04/2009 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Sobin | 3146799 | 1 | 11/02/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |