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 Edward Phillips | 2185050 | 1 | 03/09/2000 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Joseph Bartumioli | 1508173 | 2 | 01/23/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 01/19/2000 | Customer Dispute | Denied | $5,716.00 | $0.00 | See FINRA Report |
| Sonya Helena Gelb Choeff | 1876200 | 1 | 12/28/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Donald Joseph Cianto | 1632464 | 1 | 12/17/1999 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Kurt H Klingenberg | 2384065 | 2 | 12/17/1999 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Astrid Rodriguez-Carranza | 2857018 | 2 | 10/18/1999 | Customer Dispute | Denied | $91,000.00 | $0.00 | See FINRA Report |
| Robert Philip Regent | 2190700 | 2 | 08/24/1999 | Customer Dispute | Denied | $8,430.90 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 08/06/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 08/02/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |