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 |
|---|---|---|---|---|---|---|---|---|
| Mark Lee Nixon | 2023269 | 1 | 10/04/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Leonard Sherman | 2518209 | 3 | 10/02/2010 | Customer Dispute | Settled | $24,628.00 | $0.00 | See FINRA Report |
| Randall Scott Norden | 2732578 | 1 | 09/28/2010 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Andrew George Kaplan | 5006300 | 2 | 09/24/2010 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Roger Martin Veome | 2678989 | 2 | 09/24/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Robert Paul Kenney | 2727752 | 4 | 09/24/2010 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Luis Manuel Garcia | 2554908 | 1 | 09/23/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Sonia Katyal | 2830253 | 2 | 09/23/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Darryl Wayne Thompson | 3085999 | 4 | 09/13/2010 | Customer Dispute | Settled | $1,800,000.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 08/30/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |