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 |
|---|---|---|---|---|---|---|---|---|
| Sara Harran Moffat | 5845346 | 1 | 08/22/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jacques Mauricio Borisewitz | 2325894 | 1 | 04/17/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark John Murphy | 1262993 | 2 | 03/24/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan William Ames | 3263181 | 2 | 03/17/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pamela Kay McComas | 4381898 | 1 | 08/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Robert Teegarden | 443713 | 1 | 08/19/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward Charles Baldwin | 4298532 | 4 | 07/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William C Yuen | 4338061 | 3 | 05/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Ian Warshaw | 2007709 | 2 | 10/08/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kerrie Leigh Milligan | 4276095 | 3 | 09/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |