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 |
|---|---|---|---|---|---|---|---|---|
| Holly Louise Walcher | 1512169 | 3 | 12/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 10/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Nicole Butler | 7045908 | 3 | 10/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Ann Hawkins | 2622582 | 7 | 10/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karina Ludwika Kopaniecka | 5009147 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 09/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia Rodriguez | 4134594 | 2 | 09/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Debello | 1651440 | 3 | 08/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 07/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia Louise Luepke | 1700835 | 1 | 07/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |