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 |
|---|---|---|---|---|---|---|---|---|
| Christopher S Weng | 2413401 | 2 | 01/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 12/16/2019 | Customer Dispute | Settled | $256,000.00 | $0.00 | See FINRA Report |
| Seraphim M Rine | 4305797 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Patricia Lynn Sans | 1155239 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| John Troy Howard | 2264121 | 3 | 09/20/2019 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Ricardo James Armijo | 2694904 | 3 | 09/16/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Yaakov Ari Ringler | 4419944 | 2 | 08/21/2019 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 08/05/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Garner | 6818520 | 1 | 04/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Grigori Lvov | 4638797 | 1 | 01/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |