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 |
|---|---|---|---|---|---|---|---|---|
| Jason Eric Goldberg | 2920117 | 1 | 02/09/1999 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Willie Ray Horn | 1362201 | 5 | 02/02/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Terry Platt | 2022209 | 1 | 01/12/1999 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Peter Joseph Walsh | 1668763 | 1 | 11/03/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew James Siegel | 2241036 | 1 | 09/28/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Ross Porter Grant | 856782 | 1 | 09/22/1998 | Customer Dispute | Settled | $7,800.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 09/16/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| W Eric Gleason | 2352398 | 2 | 08/31/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Roy Bredt | 1621507 | 4 | 08/13/1998 | Customer Dispute | Settled | $54,776.30 | $0.00 | See FINRA Report |
| Jeffrey M Goldberg | 1562205 | 1 | 08/03/1998 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |