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 |
|---|---|---|---|---|---|---|---|---|
| Alan Robert Rosenberg | 4156676 | 3 | 09/23/2009 | Customer Dispute | Settled | $194,084.00 | $0.00 | See FINRA Report |
| John Whittemore Stokes | 1292219 | 2 | 09/18/2009 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Robert Durham Blackford | 2647514 | 1 | 09/15/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chester Jackson Sheffield | 1740544 | 2 | 09/15/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Hardt W Bing | 4565173 | 2 | 09/15/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dierk Lane Cockrell | 1583530 | 3 | 09/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Philip Guercio | 1034005 | 1 | 09/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Mitchell Brodsky | 2005984 | 3 | 08/31/2009 | Customer Dispute | Settled | $47,353.00 | $0.00 | See FINRA Report |
| James Duncan Zahringer | 1079427 | 3 | 08/26/2009 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| William Morris Lellyett | 865131 | 8 | 08/21/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |