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 |
|---|---|---|---|---|---|---|---|---|
| Jon Carney Emerson | 4031969 | 2 | 01/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Anthony Liberatore | 1589263 | 4 | 01/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Norman Disspain | 4433196 | 1 | 01/09/2008 | Customer Dispute | Settled | $58,500.00 | $0.00 | See FINRA Report |
| David Gillaspy | 2885981 | 2 | 12/28/2007 | Customer Dispute | Settled | $38,310.10 | $0.00 | See FINRA Report |
| Ralph Anthony Liberatore | 1589263 | 4 | 12/14/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Jacob Wire | 1385752 | 1 | 11/29/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Thomas Whitfield | 1827975 | 3 | 10/23/2007 | Customer Dispute | Settled | $13,412.50 | $0.00 | See FINRA Report |
| Christopher Stephen Johnson | 2041695 | 2 | 07/23/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Anthony Thompson | 2881580 | 1 | 07/13/2007 | Customer Dispute | Settled | $17,059.00 | $0.00 | See FINRA Report |
| Bob Dale Cackley | 1620378 | 1 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |