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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Edward Dunn | 2977211 | 2 | 07/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 07/18/2006 | Customer Dispute | Settled | $775,000.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 06/30/2006 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Susan Gwynn Carlyon | 2872674 | 1 | 06/22/2006 | Customer Dispute | Settled | $52,246.50 | $0.00 | See FINRA Report |
| Gregg Walter Stupinski | 2068917 | 3 | 06/21/2006 | Customer Dispute | Settled | $6,600.00 | $0.00 | See FINRA Report |
| Richard Paul Altieri | 1951972 | 5 | 06/05/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan J Fair | 4040432 | 1 | 05/10/2006 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Noble | 1416138 | 2 | 05/08/2006 | Customer Dispute | Settled | $86,824.80 | $0.00 | See FINRA Report |
| Lynne Pehl Calvert | 2518965 | 1 | 03/09/2006 | Customer Dispute | Settled | $57,112.00 | $0.00 | See FINRA Report |
| Andrew George Sukhin | 2102283 | 9 | 02/22/2006 | Customer Dispute | Settled | $175,272.00 | $0.00 | See FINRA Report |