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 |
|---|---|---|---|---|---|---|---|---|
| David L McConnell | 6721942 | 1 | 12/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Crystal Tiara Gil | 5828863 | 1 | 09/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dlorah Nicole Johnson | 6382612 | 5 | 02/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Michele Dampier | 2910343 | 1 | 01/14/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taminko Arnise Matthews | 3176450 | 3 | 07/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Booty Doherty | 2549658 | 6 | 07/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taminko Arnise Matthews | 3176450 | 3 | 06/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dlorah Nicole Johnson | 6382612 | 5 | 09/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandi Miller-Montgomery | 6333384 | 3 | 05/26/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicola Ann Rand | 6740958 | 2 | 04/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |