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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ruttenberg | 1088953 | 1 | 11/20/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 11/14/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Timothy Allan Klingensmith | 1988290 | 4 | 11/12/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Tarek Z Salhab | 4286426 | 6 | 10/03/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Hosea Shepard | 2594416 | 2 | 08/24/2012 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Lynn Trusty Shaw | 856092 | 8 | 08/15/2012 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gary Jay Handler | 1985218 | 9 | 08/10/2012 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Andrew Tyler Fort | 2556092 | 7 | 07/23/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Brian Pennell | 2317732 | 2 | 07/17/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| William Morris Lellyett | 865131 | 8 | 07/02/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |