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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Lyn Westmoreland | 1398304 | 4 | 06/29/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| John Hilliard Pettey | 1469162 | 3 | 06/19/2009 | Customer Dispute | Settled | $197,662.00 | $0.00 | See FINRA Report |
| Roger Courtland Williams | 4622925 | 7 | 06/18/2009 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Lawrence David Moss | 817527 | 1 | 06/16/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| William Bradford Sullivan | 1391047 | 6 | 06/15/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Charles Landon Myers | 4551070 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dwayne Mark Peltier | 730119 | 2 | 06/09/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Neil Paul Tagaras | 3148311 | 1 | 06/02/2009 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Andrew George Sukhin | 2102283 | 9 | 05/28/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Bradford Sullivan | 1391047 | 6 | 05/21/2009 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |