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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Lambert Thatcher | 1952128 | 3 | 04/07/2011 | Customer Dispute | Settled | $4,300,000.00 | $0.00 | See FINRA Report |
| John Charles Ferguson | 1451570 | 4 | 04/05/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Steven Patrick Whelan | 1348453 | 1 | 04/04/2011 | Customer Dispute | Settled | $1,395,030.00 | $0.00 | See FINRA Report |
| Lizzette Josephine Inchaustegui | 2284515 | 2 | 04/01/2011 | Customer Dispute | Settled | $8,548.76 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 03/07/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Kenney | 2727752 | 4 | 03/03/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Richard Scott Park | 828776 | 1 | 02/28/2011 | Customer Dispute | Settled | $3,500,000.00 | $0.00 | See FINRA Report |
| Alexander Taylor Strange | 1591323 | 7 | 02/07/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hardt W Bing | 4565173 | 2 | 02/03/2011 | Customer Dispute | Settled | $2,100,000.00 | $0.00 | See FINRA Report |
| Robert Calhoun Curtis | 1251845 | 3 | 01/26/2011 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |