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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Marchand Minor | 3196901 | 1 | 07/08/2004 | Customer Dispute | Settled | $39,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Dowd | 2379831 | 3 | 07/05/2004 | Customer Dispute | Settled | $12,989.00 | $0.00 | See FINRA Report |
| Jarrod Edward Biebel | 2182514 | 1 | 06/03/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Anthony Agosta | 1728380 | 1 | 05/30/2004 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| William Einar Hudson | 1398095 | 3 | 05/17/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Kernan | 2203070 | 1 | 05/11/2004 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 05/04/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Charles Thompson | 827534 | 3 | 05/03/2004 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Craig Hampton Decker | 2697472 | 2 | 04/30/2004 | Customer Dispute | Settled | $88,228.00 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 04/23/2004 | Customer Dispute | Settled | $272,000.00 | $0.00 | See FINRA Report |