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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Wasserman Hall | 4879088 | 3 | 10/30/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David McWilliam Lucas | 840978 | 1 | 09/28/2018 | Customer Dispute | Denied | $328,765.00 | $0.00 | See FINRA Report |
| Frank Jerome Grossman | 1669231 | 3 | 09/05/2018 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| William Benjamin Weber | 2391006 | 1 | 06/29/2018 | Customer Dispute | Denied | $29,174.00 | $0.00 | See FINRA Report |
| Charles John Lindholm | 2679474 | 1 | 06/29/2018 | Customer Dispute | Denied | $29,174.00 | $0.00 | See FINRA Report |
| Linda Joan Fulgenzi | 1721704 | 3 | 02/14/2018 | Customer Dispute | Denied | $24,820.80 | $0.00 | See FINRA Report |
| Cristina Curiale | 6270160 | 1 | 02/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Bernard Tropea | 1762582 | 1 | 01/29/2018 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jeffrey Gordon Hull | 1856407 | 3 | 11/19/2017 | Customer Dispute | Denied | $66,000.00 | $0.00 | See FINRA Report |
| Nichola S Agins | 2920530 | 1 | 10/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |