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 |
|---|---|---|---|---|---|---|---|---|
| Barry Marc Sobel | 2014407 | 1 | 09/15/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Russell William Stein | 434765 | 3 | 08/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Chris Gruner | 2978088 | 2 | 06/23/2020 | Customer Dispute | Settled | $5,162,450.00 | $0.00 | See FINRA Report |
| Richard Lee Snipes | 2182199 | 5 | 04/30/2020 | Customer Dispute | Settled | $8,082.00 | $0.00 | See FINRA Report |
| Robert J Radli | 1076710 | 2 | 03/24/2020 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Daniel John Kraus | 719032 | 2 | 03/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew H Lee | 2257654 | 2 | 02/24/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marina Sonya Tudela | 2269112 | 3 | 02/14/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Richard Charles Hinesley | 4376046 | 2 | 02/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dax Aaron Seale | 5631159 | 2 | 01/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |