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 |
|---|---|---|---|---|---|---|---|---|
| Philip Scott Bradshaw | 5111576 | 2 | 10/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paolo M Thompson | 2286601 | 1 | 06/01/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 01/20/2022 | Customer Dispute | Settled | $9,880.66 | $0.00 | See FINRA Report |
| Leonard J Boniface | 4704177 | 1 | 11/15/2021 | Customer Dispute | Settled | $40,820.30 | $0.00 | See FINRA Report |
| Dennis Edward Michels | 3076196 | 1 | 10/22/2021 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Ruben Javier Frezzotti | 4439983 | 7 | 07/22/2021 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Marina Sonya Tudela | 2269112 | 7 | 04/16/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Edward Fernberger | 206743 | 1 | 04/12/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andres Castillo | 5961912 | 1 | 02/28/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roman Meyerhans | 4587943 | 1 | 01/22/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |