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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Manyx Bartley | 4338872 | 2 | 12/12/2011 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| John Burke Strange | 1388763 | 7 | 11/15/2011 | Customer Dispute | Settled | $957,461.00 | $0.00 | See FINRA Report |
| Eric Fred Bachinsky | 1002854 | 5 | 11/04/2011 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Richard Allen Hartman | 870876 | 1 | 11/03/2011 | Customer Dispute | Settled | $20,808.90 | $0.00 | See FINRA Report |
| Thomas Brian Pennell | 2317732 | 2 | 10/27/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Hall | 2707163 | 9 | 10/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jessica Vanessa Valera | 4351717 | 1 | 09/27/2011 | Customer Dispute | Settled | $377,187.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 09/26/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gordon Sligh | 2825659 | 5 | 09/21/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Martin Moran | 2984693 | 1 | 09/20/2011 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |