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 |
|---|---|---|---|---|---|---|---|---|
| John Christopher Malatino | 3019048 | 1 | 01/09/2009 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Richard Orland Paris | 2529856 | 2 | 01/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Gilford Johnson | 4739303 | 4 | 01/07/2009 | Customer Dispute | Denied | $8,642.97 | $0.00 | See FINRA Report |
| Michel Lee Bess | 4808503 | 3 | 12/29/2008 | Customer Dispute | Denied | $8,699.30 | $0.00 | See FINRA Report |
| Michael Jay Shapiro | 2872328 | 5 | 12/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Walter Ollmann | 2429193 | 2 | 12/16/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 12/15/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Jon Waszolek | 5490734 | 1 | 12/03/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Bryan Berman | 717991 | 6 | 12/02/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Henry Hauser | 717465 | 2 | 12/02/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |