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 |
|---|---|---|---|---|---|---|---|---|
| Chari Elizabeth Rigby | 6860713 | 1 | 04/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tammy Jo Mercier | 2752455 | 3 | 02/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven John Oras | 2211661 | 2 | 01/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Mitchell | 3091132 | 2 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Valenzuela | 2466796 | 7 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Squitieri | 5538197 | 1 | 12/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Marie Christina | 4843900 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Ann Dollard | 2335548 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Judy Elizabeth Alexander | 6053048 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Elliott Barrett | 5568082 | 3 | 12/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |