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 |
|---|---|---|---|---|---|---|---|---|
| Deborah Riney Smith | 2467717 | 1 | 08/19/2009 | Customer Dispute | Settled | $6,300,000.00 | $0.00 | See FINRA Report |
| Paul Byron Elkjer | 2199396 | 1 | 08/18/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Pamela Atchley Baird | 2148780 | 3 | 08/18/2009 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Darryl Wayne Thompson | 3085999 | 4 | 08/18/2009 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| John Allen Clausen | 2172537 | 1 | 08/14/2009 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Dierk Lane Cockrell | 1583530 | 3 | 08/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Altieri | 1951972 | 5 | 08/04/2009 | Customer Dispute | Settled | $14,550.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 08/03/2009 | Customer Dispute | Settled | $235,284.00 | $0.00 | See FINRA Report |
| Joseph Jordan French | 1580953 | 4 | 07/29/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William F Wolbrecht | 1403619 | 5 | 07/27/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |