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 |
|---|---|---|---|---|---|---|---|---|
| Charles Herbert Mulfinger | 1280892 | 2 | 02/05/2001 | Customer Dispute | Denied | $72,000.00 | $0.00 | See FINRA Report |
| Todd Leonard Sherman | 2518209 | 3 | 12/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Umbarger | 3132496 | 1 | 12/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heidi Suzanne Gough | 2141253 | 4 | 12/18/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Cohen | 50061 | 3 | 12/15/2000 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 11/28/2000 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Kathleen Anne Getchell | 1057386 | 1 | 11/28/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Einar Hudson | 1398095 | 3 | 11/20/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Manfrey | 1866271 | 3 | 11/20/2000 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Kendrick William White | 1288296 | 3 | 10/13/2000 | Customer Dispute | Denied | $18,894.00 | $0.00 | See FINRA Report |