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 |
|---|---|---|---|---|---|---|---|---|
| Bruce McKiernan White | 4059739 | 1 | 07/20/2009 | Customer Dispute | Settled | $75,270.80 | $0.00 | See FINRA Report |
| James David Yarbrough | 3217027 | 2 | 07/15/2009 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Roman Sazonov | 5315048 | 2 | 07/14/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Warren Lovett Edge | 2422644 | 6 | 07/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Emerson Kern | 1848667 | 1 | 07/13/2009 | Customer Dispute | Settled | $238,250.00 | $0.00 | See FINRA Report |
| David Harry Richman | 2780622 | 1 | 07/09/2009 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Russell William Stein | 434765 | 3 | 07/07/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Leo Marc Sanchez | 1984163 | 1 | 07/06/2009 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Jerome Robert Renaudin | 853575 | 3 | 07/06/2009 | Customer Dispute | Settled | $217,000.00 | $0.00 | See FINRA Report |
| Lisa Lyn Westmoreland | 1398304 | 4 | 07/06/2009 | Customer Dispute | Settled | $154,000.00 | $0.00 | See FINRA Report |