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 |
|---|---|---|---|---|---|---|---|---|
| Glenn August Pahnke | 1803352 | 3 | 11/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nickolaus Andrew Roeschley | 4056725 | 1 | 11/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Gilford Johnson | 4739303 | 4 | 11/19/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Floyd Pugh | 2696148 | 1 | 11/06/2008 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Christopher Brook Witt | 4922521 | 1 | 11/06/2008 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| William Michael Mann Jr | 4492453 | 1 | 10/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Murrle-Philippsen | 4396879 | 1 | 10/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Charles Baldwin | 4298532 | 4 | 10/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Corn Woodcock | 2238849 | 1 | 10/13/2008 | Customer Dispute | Settled | $86,648.10 | $0.00 | See FINRA Report |
| Matthew Branch Anderson | 3131323 | 1 | 10/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |