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 |
|---|---|---|---|---|---|---|---|---|
| Cheri Schafer | 5066956 | 2 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheri Schafer | 5066956 | 2 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lori Lynn Fugate | 2105967 | 3 | 08/31/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Douglas Bell | 5554589 | 1 | 08/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taminko Arnise Matthews | 3176450 | 3 | 06/08/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Scott Ross | 2628746 | 3 | 03/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher James Warburton | 2554100 | 1 | 06/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rosalba Esther Pelaez | 2589923 | 1 | 11/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa A James | 2301877 | 1 | 11/07/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Allen Brazzell | 2988874 | 1 | 05/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |