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 Alfred Ducharme | 2398250 | 1 | 05/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Michael Jay Shapiro | 2872328 | 5 | 05/21/2003 | Customer Dispute | Denied | $68,250.00 | $0.00 | See FINRA Report |
Barry Lee Garber | 2196068 | 1 | 05/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Christopher Shannon Montgomery | 2023937 | 2 | 05/20/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
John Stephen Heck | 2366044 | 1 | 05/09/2003 | Customer Dispute | Denied | $238,740.00 | $0.00 | See FINRA Report |
Lawson Hugh Ballard | 1146807 | 2 | 04/14/2003 | Customer Dispute | Denied | $172,346.00 | $0.00 | See FINRA Report |
William Bradford Sullivan | 1391047 | 6 | 04/10/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Geoffrey Alan Japchen | 2112405 | 1 | 03/21/2003 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
Jeffrey Gordon Hull | 1856407 | 3 | 03/07/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
Rodney Burton Lineberry | 1967453 | 1 | 03/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |