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 |
|---|---|---|---|---|---|---|---|---|
| James Hamilton Weymouth | 1726009 | 2 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Brown | 1844458 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Noble | 1416138 | 2 | 12/18/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lynn Trusty Shaw | 856092 | 8 | 10/23/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Guy Edward Yandel | 1383066 | 1 | 09/06/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Paul Sarin | 1183965 | 2 | 07/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Oneill | 871604 | 1 | 01/24/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Parker | 1195044 | 2 | 12/27/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 12/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Nelson Alsfeld | 855016 | 1 | 09/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |