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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Branton Laird | 4296982 | 1 | 03/10/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 12/20/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Allen Vaughn | 3076744 | 2 | 12/05/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Foster | 4299466 | 1 | 07/07/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Asta | 4491887 | 1 | 01/20/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Paul Roman | 4406644 | 1 | 02/22/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Riann Elizabeth Washburn | 4405779 | 2 | 12/26/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Allen Schaefer | 6292066 | 1 | 03/30/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Riann Elizabeth Washburn | 4405779 | 2 | 09/11/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael James Maniaci | 7132192 | 1 | 11/13/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |