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 |
|---|---|---|---|---|---|---|---|---|
| Kerrie Leigh Milligan | 4276095 | 3 | 07/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Henry Hauser | 717465 | 2 | 06/26/2019 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| David Anderson Alford | 1711320 | 3 | 06/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dax Aaron Seale | 5631159 | 2 | 05/23/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 4 | 05/16/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Baine Kelley | 2024738 | 1 | 05/10/2019 | Customer Dispute | Denied | $30,486.00 | $0.00 | See FINRA Report |
| Scott Douglas Pugan | 1739836 | 1 | 02/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 01/31/2019 | Customer Dispute | Denied | $8,576.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 01/15/2019 | Customer Dispute | Denied | $199,467.00 | $0.00 | See FINRA Report |
| Taryn P Moll | 1529881 | 1 | 01/15/2019 | Customer Dispute | Denied | $632,332.00 | $0.00 | See FINRA Report |