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 |
|---|---|---|---|---|---|---|---|---|
| William Roy Bredt | 1621507 | 4 | 10/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tracy McIntyre Belton | 1183771 | 3 | 10/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Seraphim M Rine | 4305797 | 2 | 10/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rosa Maria Ebling | 1034103 | 1 | 10/06/2008 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Christopher James Peszek | 3259758 | 1 | 10/06/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Stephen Thomas Whitfield | 1827975 | 3 | 09/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allan David Gottesman | 718058 | 1 | 09/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tobin Kirk Hom | 2392185 | 2 | 09/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Albert Charles Boris | 1256591 | 1 | 08/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Reza Mollabashy | 4767671 | 1 | 08/25/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |