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 |
|---|---|---|---|---|---|---|---|---|
| Steven James Hocking | 4506824 | 1 | 04/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alexander Q de Oliveira | 2732811 | 2 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Rodrigo Sideris | 4663498 | 1 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Andres Castillo | 5961912 | 1 | 02/28/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Geoffrey William Moore | 3094211 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Anne Landry | 1967111 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/04/2021 | Customer Dispute | Settled | $4,209,000.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 11/23/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Glenn August Pahnke | 1803352 | 3 | 11/01/2020 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 09/18/2020 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |