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 |
|---|---|---|---|---|---|---|---|---|
| James Preston Covington | 1302068 | 5 | 03/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lionel Rolando Rivera | 1678275 | 1 | 03/16/2009 | Customer Dispute | Denied | $52,658.00 | $0.00 | See FINRA Report |
| Henri Castro | 2408942 | 2 | 03/13/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark William Leonhard | 1414125 | 2 | 03/13/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Michael Dowden | 3138016 | 1 | 03/11/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary Jay Handler | 1985218 | 9 | 03/10/2009 | Customer Dispute | Denied | $131,611.00 | $0.00 | See FINRA Report |
| James Anthony Levy | 2103773 | 1 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barbara B Corrao | 2142548 | 5 | 03/02/2009 | Customer Dispute | Denied | $109,000.00 | $0.00 | See FINRA Report |
| Robert Philip Regent | 2190700 | 2 | 02/19/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Diane Kimberley Fisher | 1125776 | 3 | 02/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |