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 John Murphy | 1262993 | 2 | 06/19/2012 | Customer Dispute | Settled | $7,900,000.00 | $0.00 | See FINRA Report |
| William Charles Warner | 459232 | 4 | 06/12/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tarek Z Salhab | 4286426 | 6 | 05/16/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Mitchell Nebens | 1776719 | 1 | 04/12/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Cornelius Suarez | 4663865 | 2 | 03/15/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter John Zelop | 1895664 | 4 | 02/06/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Frank Jerome Grossman | 1669231 | 3 | 01/24/2012 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Ryan Manyx Bartley | 4338872 | 2 | 01/10/2012 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Ian Dodd Spradling | 4281455 | 1 | 01/05/2012 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 12/28/2011 | Customer Dispute | Settled | $104,806.00 | $0.00 | See FINRA Report |