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 |
|---|---|---|---|---|---|---|---|---|
| William Colin Seibert | 2710335 | 5 | 01/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory C Teschke | 5037784 | 1 | 01/12/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 12/16/2022 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Kevin F Duffy | 4481935 | 2 | 12/08/2022 | Customer Dispute | Pending | $124,209.00 | $0.00 | See FINRA Report |
| Collin Larry Rigler | 1932563 | 2 | 11/28/2022 | Customer Dispute | Pending | $44,720.70 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 14 | 11/27/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jon Travis Rice | 4961184 | 1 | 11/13/2022 | Customer Dispute | Pending | $139,000.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 11/09/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Stringer | 4292775 | 1 | 08/03/2022 | Customer Dispute | Pending | $59,093.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 05/05/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |