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 |
|---|---|---|---|---|---|---|---|---|
| Gregory James Koontz | 1893838 | 2 | 04/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Dean Devenney | 2468528 | 1 | 04/13/2004 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| William Joseph Konchal | 1092372 | 2 | 02/09/2004 | Customer Dispute | Settled | $54,475.00 | $0.00 | See FINRA Report |
| Fred Simon Maschmidt | 2813824 | 3 | 02/06/2004 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Kenneth Supman | 1269899 | 3 | 02/02/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 01/20/2004 | Customer Dispute | Settled | $7,380.00 | $0.00 | See FINRA Report |
| Robert D Williams | 826960 | 5 | 12/17/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicole Zielke Harris | 2601113 | 5 | 11/20/2003 | Customer Dispute | Settled | $36,796.90 | $0.00 | See FINRA Report |
| Patricia Lynn Sans | 1155239 | 2 | 11/18/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 11/06/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |