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 |
|---|---|---|---|---|---|---|---|---|
| Ulrich Koenig | 3130959 | 1 | 10/29/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward William Sheehan | 3064411 | 2 | 10/17/2001 | Customer Dispute | Denied | $5,000.58 | $0.00 | See FINRA Report |
| Jeffrey Dean Clemmons | 2326210 | 2 | 10/15/2001 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Charles Herbert Mulfinger | 1280892 | 2 | 10/15/2001 | Customer Dispute | Denied | $32,430.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 10/09/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Aimee Lee Boggs | 2786700 | 3 | 09/27/2001 | Customer Dispute | Denied | $50,293.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 09/21/2001 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Kieran Thomas Maloney | 1895667 | 3 | 09/05/2001 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Kristen A Ragusin | 2291576 | 2 | 08/13/2001 | Customer Dispute | Denied | $12,184.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 07/31/2001 | Customer Dispute | Denied | $288,180.00 | $0.00 | See FINRA Report |