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 Ward Mayer | 1888667 | 3 | 08/17/2009 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Mara Lynne Klein-Ming | 1950559 | 1 | 08/16/2009 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Kerrie Lynn Best | 2834846 | 3 | 08/12/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Bernard Edward Packard | 4262614 | 1 | 08/06/2009 | Customer Dispute | Denied | $16,358.00 | $0.00 | See FINRA Report |
| Brian Douglas Verville | 1852852 | 1 | 08/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michel Lee Bess | 4808503 | 3 | 08/03/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Lawrence Caso | 1587538 | 5 | 07/30/2009 | Customer Dispute | Denied | $1,400,000.00 | $0.00 | See FINRA Report |
| Ruth Zambo Kitzmann | 2579799 | 3 | 07/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Paul Broussard | 2256849 | 1 | 07/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laurel Ann Markley | 1003711 | 3 | 07/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |