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 |
|---|---|---|---|---|---|---|---|---|
| Erin Victoria Swafford | 5930413 | 2 | 07/16/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Virginia Kilgore Fiveash | 1882716 | 1 | 08/01/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Renae Louise Cobern | 4307995 | 10 | 12/23/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carol Cato Keathley | 1396322 | 3 | 08/30/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christine M Satterfield | 2978106 | 1 | 06/08/2009 | Customer Dispute | Pending | $111,528.00 | $0.00 | See FINRA Report |
| Mark Krauss | 1800899 | 3 | 03/31/2004 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| John Lakin Garth | 730871 | 1 | 01/29/2003 | Customer Dispute | Pending | $24,585.00 | $0.00 | See FINRA Report |
| Patricia Strauss Otterson | 1051951 | 1 | 01/16/2003 | Customer Dispute | Pending | $31,227.70 | $0.00 | See FINRA Report |
| Kenneth Supman | 1269899 | 3 | 10/11/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph John Ciaramitaro | 1471600 | 2 | 01/17/2001 | Customer Dispute | Pending | $16,860.00 | $0.00 | See FINRA Report |