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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie Jean Duncan | 4242535 | 1 | 05/13/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arnell Lemuns Dickerson | 7733177 | 1 | 03/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stacy Dean Johnson | 2401419 | 1 | 06/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Edward Thompson | 6091981 | 1 | 06/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louise Proctor Rider | 6599692 | 1 | 04/27/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Joseph Dimartino | 6481730 | 1 | 07/21/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicola Ann Rand | 6740958 | 2 | 05/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brennan Patrick Kelly | 4557479 | 2 | 06/11/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David James McMiller | 6994500 | 1 | 02/02/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Nicholas Harring | 6072260 | 1 | 10/31/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |