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 |
|---|---|---|---|---|---|---|---|---|
| Timothy James Owen | 1132045 | 1 | 12/03/2002 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Mark H Pearce | 2696479 | 2 | 12/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Alan Marshall | 320785 | 4 | 11/07/2002 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| David Eugene Williams | 2214906 | 2 | 11/04/2002 | Customer Dispute | Settled | $34,500.00 | $0.00 | See FINRA Report |
| James J Dowd | 1155775 | 6 | 10/10/2002 | Customer Dispute | Settled | $540,000.00 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 10/08/2002 | Customer Dispute | Settled | $4,855.00 | $0.00 | See FINRA Report |
| Harvey Jay McInerney | 705363 | 5 | 10/04/2002 | Customer Dispute | Settled | $267,464.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 10/04/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |