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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Paul Hirsch | 1104240 | 4 | 04/01/2008 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Joshua W Rogers | 4291672 | 1 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven G Williams | 2383887 | 1 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Kovie | 2662733 | 1 | 03/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul P Ruane | 1919834 | 3 | 03/31/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gary Jay Handler | 1985218 | 9 | 03/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean Douglas Dancer | 3112880 | 2 | 03/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nena Marie Howden | 2009350 | 1 | 03/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas C O'Neill | 1084925 | 1 | 03/21/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| George Joseph Garro | 1074957 | 1 | 03/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |