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 |
|---|---|---|---|---|---|---|---|---|
| Ira Michael Bauman | 1079115 | 3 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Michael Madden | 6058173 | 1 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Harrison Lloyd Bauman | 5225710 | 2 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 12/27/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Wallace Schmitt | 4486457 | 1 | 12/18/2023 | Customer Dispute | Pending | $385,161.00 | $0.00 | See FINRA Report |
| Lori Lynn Fugate | 2105967 | 3 | 12/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marc Damon Hallick | 4652410 | 1 | 11/02/2023 | Customer Dispute | Pending | $6,500,000.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 10/31/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Kubicsko | 861670 | 3 | 09/20/2023 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Charles Matthew Fagan | 5040887 | 1 | 08/15/2023 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |