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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Roland Valadez | 2525792 | 3 | 04/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kelly Marie Stewart | 4719669 | 1 | 04/22/2018 | Customer Dispute | Settled | $5,059.00 | $0.00 | See FINRA Report |
| Nancy Anne Branton | 1764824 | 3 | 04/10/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimball Stanley III Bullard | 3218049 | 6 | 03/15/2018 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 01/04/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 10/03/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Philip Thomas Maurer | 1571068 | 1 | 08/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Alexander Baber | 2810909 | 1 | 08/14/2017 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| William Joseph Konchal | 1092372 | 2 | 08/02/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Charles Dale Watson | 4063528 | 1 | 06/14/2017 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |