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 |
|---|---|---|---|---|---|---|---|---|
| Keith Morrissey | 5814382 | 5 | 04/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Dewayne Davis | 6584651 | 1 | 12/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Morrissey | 5814382 | 5 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Ray Harris | 6123572 | 2 | 11/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Morrissey | 5814382 | 5 | 09/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Charles Pingeton | 858197 | 5 | 07/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Charles Pingeton | 858197 | 5 | 07/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dlorah Nicole Johnson | 6382612 | 5 | 05/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dlorah Nicole Johnson | 6382612 | 5 | 09/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Morrissey | 5814382 | 5 | 01/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |