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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Valenzuela | 2466796 | 7 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William C Yuen | 4338061 | 3 | 06/26/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Goldstein | 5062149 | 2 | 12/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Elliott Barrett | 5568082 | 3 | 06/11/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Eston McCullough | 1915239 | 2 | 12/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Courtland Williams | 4622925 | 7 | 08/27/2012 | Customer Dispute | Final | $25,000.00 | $0.00 | See FINRA Report |
| Lisa Rogers Boone | 3114195 | 2 | 08/21/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Byrd Price | 2175109 | 3 | 04/02/2012 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Paul David Willson | 2392141 | 6 | 01/13/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Shane Leblanc | 2426970 | 2 | 05/10/2011 | Customer Dispute | Final | $200,000.00 | $0.00 | See FINRA Report |