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 |
|---|---|---|---|---|---|---|---|---|
| Wesley Calvin Brumfield | 1269941 | 2 | 06/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Michael Goldstein | 5062149 | 2 | 06/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Tracey Shoup | 1547801 | 2 | 05/07/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Todd Roger Evans | 2733519 | 1 | 01/27/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James J Dowd | 1155775 | 6 | 01/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Heidi Anne O'Dea | 2695951 | 1 | 01/10/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Anthony O'Connell | 2258508 | 1 | 01/03/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sara Lenai Schupp | 4621391 | 1 | 12/13/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Abu B M Farukh | 705171 | 4 | 12/12/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Janice Caroline Donaubauer | 1455434 | 1 | 11/30/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |