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 |
|---|---|---|---|---|---|---|---|---|
| John Mark Pickering | 1769314 | 1 | 03/28/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Lisa Lynn Stella | 1628629 | 2 | 03/11/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Sean William Fitzpatrick | 4546140 | 2 | 02/28/2014 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ruth Zambo Kitzmann | 2579799 | 3 | 12/23/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 12/17/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Michael Ancel Brown | 2587735 | 1 | 12/11/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Brian Brennan | 1395080 | 1 | 09/10/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott D Burns | 1250804 | 3 | 07/12/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward William Sheehan | 3064411 | 2 | 07/01/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |