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 |
|---|---|---|---|---|---|---|---|---|
| Denise Frances Leong Tanaka | 5738505 | 1 | 06/24/2013 | Customer Dispute | Settled | $19,229.60 | $0.00 | See FINRA Report |
| David Michael Kushner | 5567401 | 1 | 05/29/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Gilford Johnson | 4739303 | 4 | 05/28/2013 | Customer Dispute | Settled | $67,000.00 | $0.00 | See FINRA Report |
| Michael Wayne Faircloth | 4055808 | 1 | 04/29/2013 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Ivan G Gordon | 4800122 | 1 | 03/27/2013 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Scott D Burns | 1250804 | 3 | 03/13/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 02/11/2013 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Andrea Kotch Duda | 1065243 | 1 | 01/23/2013 | Customer Dispute | Settled | $5,614.00 | $0.00 | See FINRA Report |
| Allan Mark Gottlieb | 1198363 | 1 | 12/06/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Velarde | 1707166 | 5 | 12/04/2012 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |