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 |
|---|---|---|---|---|---|---|---|---|
| Christian Ernst Langenstein | 1535975 | 4 | 01/24/2011 | Customer Dispute | Settled | $20,000,000.00 | $0.00 | See FINRA Report |
| Tarek Z Salhab | 4286426 | 6 | 01/11/2011 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| David L Rains | 1729950 | 1 | 12/28/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gordon Sligh | 2825659 | 5 | 12/27/2010 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| Lynn Trusty Shaw | 856092 | 8 | 12/23/2010 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Gregory Lambert Thatcher | 1952128 | 3 | 12/22/2010 | Customer Dispute | Settled | $2,450,000.00 | $0.00 | See FINRA Report |
| Frank Joseph Domino | 1230591 | 1 | 12/13/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Stephenson Burd | 1261746 | 2 | 12/13/2010 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |
| Lisa Lyn Westmoreland | 1398304 | 4 | 12/13/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Franklin Nedbal | 1446992 | 1 | 12/08/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |