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 |
|---|---|---|---|---|---|---|---|---|
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/13/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 12/16/2022 | Customer Dispute | Settled | $1,500,000.00 | $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 |
| Claudia Ochoa-Espejo | 6540810 | 1 | 09/24/2021 | Customer Dispute | Settled | $119,311.00 | $0.00 | See FINRA Report |
| Gregory James Duncan-Peters | 1036642 | 1 | 09/13/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marina Sonya Tudela | 2269112 | 3 | 04/16/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |