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 |
|---|---|---|---|---|---|---|---|---|
| Mark Vincent Watroba | 1746201 | 1 | 09/14/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Todd Schaefer | 2469116 | 2 | 08/27/2015 | Customer Dispute | Settled | $112,000.00 | $0.00 | See FINRA Report |
| Darrell Stephen Thomas | 3052224 | 1 | 08/21/2015 | Customer Dispute | Settled | $22,960.00 | $0.00 | See FINRA Report |
| Mark Russel Kean | 1269587 | 6 | 05/22/2015 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Lori Ann Endicott | 2762527 | 1 | 05/11/2015 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Mary Francis Calabro | 4456908 | 1 | 05/11/2015 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Dana Paul Goldfarb | 707304 | 5 | 05/05/2015 | Customer Dispute | Settled | $140,198.00 | $0.00 | See FINRA Report |
| Mark Russel Kean | 1269587 | 6 | 04/20/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Mark Lee Liley | 4493570 | 1 | 03/31/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan William Ames | 3263181 | 2 | 03/23/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |