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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Brett Sapp | 5611201 | 1 | 04/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexa Pelletier | 6859691 | 1 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Hinesley | 4376046 | 2 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherene Lynn Smith | 5920990 | 2 | 03/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 03/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Enrique Marcelo Gumucio | 5779248 | 1 | 02/11/2015 | Customer Dispute | Final | $1,000,000.00 | $0.00 | See FINRA Report |
| William C Yuen | 4338061 | 3 | 02/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Mangual Schmitt | 6611608 | 2 | 02/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Mangual Schmitt | 6611608 | 2 | 02/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerrie Leigh Milligan | 4276095 | 3 | 01/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |