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 |
|---|---|---|---|---|---|---|---|---|
| James Daniel Hitchcock | 1333451 | 4 | 06/16/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Charles Calvin Curtis | 1218823 | 1 | 06/16/2003 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 05/27/2003 | Customer Dispute | Settled | $106,997.00 | $0.00 | See FINRA Report |
| Alex Ivan Gallego | 1908462 | 8 | 05/21/2003 | Customer Dispute | Settled | $159,116.00 | $0.00 | See FINRA Report |
| James David Perry | 2492072 | 1 | 05/09/2003 | Customer Dispute | Settled | $31,108.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 05/05/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 05/05/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Kirk Hearn | 1273683 | 1 | 04/24/2003 | Customer Dispute | Settled | $388,000.00 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 04/11/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Kieran Thomas Maloney | 1895667 | 3 | 04/07/2003 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |