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 |
|---|---|---|---|---|---|---|---|---|
| Ozgur Karaosmanoglu | 1439921 | 3 | 07/27/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 07/26/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 07/25/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Amanda Hickman Murphy | 3217397 | 1 | 07/25/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew George Kaplan | 5006300 | 2 | 06/27/2011 | Customer Dispute | Settled | $277,500.00 | $0.00 | See FINRA Report |
| Robert Paul Kenney | 2727752 | 4 | 06/27/2011 | Customer Dispute | Settled | $277,500.00 | $0.00 | See FINRA Report |
| Alan Marion Hughes | 1769861 | 1 | 06/27/2011 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 06/17/2011 | Customer Dispute | Settled | $215,890.00 | $0.00 | See FINRA Report |
| Willis Cobb Hagan | 2608192 | 1 | 06/17/2011 | Customer Dispute | Settled | $26,457.70 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 06/17/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |