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 |
|---|---|---|---|---|---|---|---|---|
| Kim Marie Ohler | 1276709 | 1 | 10/16/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeannie Marie Whitlock Gravelle | 4629283 | 1 | 06/20/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Cooper | 2245955 | 3 | 05/17/2017 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Emily B Fernberger | 2391704 | 2 | 05/16/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Patrick Boone | 2951077 | 1 | 04/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Adler | 819059 | 1 | 04/24/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Allen Figg | 5383241 | 2 | 03/13/2017 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |
| Steven Alec Bushman | 1448826 | 4 | 03/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darryl Douglas Dunn | 5256054 | 1 | 01/03/2017 | Customer Dispute | Denied | $6,019.00 | $0.00 | See FINRA Report |
| Laura Anne Sullivan | 2208920 | 3 | 07/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |