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 |
|---|---|---|---|---|---|---|---|---|
| Michael Stephen Lavera | 2630020 | 1 | 11/04/2003 | Customer Dispute | Settled | $471,000.00 | $0.00 | See FINRA Report |
| David C Jensen | 2295972 | 1 | 10/27/2003 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Gregory Dale Williams | 2140295 | 2 | 10/15/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Timothy Allan Klingensmith | 1988290 | 4 | 10/14/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Henry Daigle | 2237080 | 1 | 08/25/2003 | Customer Dispute | Settled | $53,473.00 | $0.00 | See FINRA Report |
| Louis Weihon Joe | 258778 | 4 | 08/07/2003 | Customer Dispute | Settled | $108,000.00 | $0.00 | See FINRA Report |
| Gregg Walter Stupinski | 2068917 | 3 | 07/21/2003 | Customer Dispute | Settled | $975,167.00 | $0.00 | See FINRA Report |
| Scott Lee Abee | 1587979 | 1 | 07/21/2003 | Customer Dispute | Settled | $8,548.14 | $0.00 | See FINRA Report |
| Michael William Townsend | 2244230 | 3 | 07/07/2003 | Customer Dispute | Settled | $166,386.00 | $0.00 | See FINRA Report |
| Jeffery Allen Miedema | 2434383 | 1 | 06/19/2003 | Customer Dispute | Settled | $25,649.00 | $0.00 | See FINRA Report |