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 |
|---|---|---|---|---|---|---|---|---|
| Frank Dilalla | 2656558 | 1 | 10/28/2009 | Customer Dispute | Settled | $379,359.00 | $0.00 | See FINRA Report |
| Lawrence Ned Gorab | 2192658 | 2 | 10/23/2009 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Dana Paul Goldfarb | 707304 | 5 | 10/23/2009 | Customer Dispute | Settled | $1,447,470.00 | $0.00 | See FINRA Report |
| Thomas Sutherland Pfeifer | 2335221 | 3 | 10/19/2009 | Customer Dispute | Settled | $113,700.00 | $0.00 | See FINRA Report |
| Joseph Jordan French | 1580953 | 4 | 10/16/2009 | Customer Dispute | Settled | $97,129.80 | $0.00 | See FINRA Report |
| Rodric Andrew MacKay | 1360404 | 1 | 10/14/2009 | Customer Dispute | Settled | $5,193,450.00 | $0.00 | See FINRA Report |
| Robert Glenn Schwartz | 1691776 | 1 | 10/13/2009 | Customer Dispute | Settled | $3,500,000.00 | $0.00 | See FINRA Report |
| Gregory James Koontz | 1893838 | 2 | 10/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William David Newman | 1101583 | 1 | 10/01/2009 | Customer Dispute | Settled | $85,443.40 | $0.00 | See FINRA Report |
| William Bruce Body | 1547342 | 5 | 09/23/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |