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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Lyn Westmoreland | 1398304 | 4 | 03/16/2020 | Customer Dispute | Denied | $36,515.00 | $0.00 | See FINRA Report |
| Miles Jason Pure | 2475647 | 2 | 03/13/2020 | Customer Dispute | Denied | $9,100.00 | $0.00 | See FINRA Report |
| Tawn Loretta Bullock | 6780768 | 2 | 02/24/2020 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Scott Kristofer Patterson | 4289857 | 1 | 01/31/2020 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Seiler | 2670659 | 2 | 12/10/2019 | Customer Dispute | Denied | $522,000.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Harless | 1882246 | 3 | 12/06/2019 | Customer Dispute | Denied | $82,722.70 | $0.00 | See FINRA Report |
| Richard Lee Snipes | 2182199 | 5 | 11/01/2019 | Customer Dispute | Denied | $153,000.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 10/16/2019 | Customer Dispute | Denied | $9,794.89 | $0.00 | See FINRA Report |
| John William Cassin | 5880730 | 1 | 10/13/2019 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| James Frederick Alioto | 827086 | 1 | 10/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |