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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Louis Silverman | 500504 | 8 | 07/16/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Raymond Ernest Lee | 305414 | 1 | 06/16/1998 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| John David Thomas | 2466247 | 3 | 05/18/1998 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Douglas Alfred Berl | 19535 | 2 | 03/08/1998 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Wesley Calvin Brumfield | 1269941 | 2 | 03/01/1998 | Customer Dispute | Settled | $149,956.00 | $0.00 | See FINRA Report |
| Christopher Pridemore Kelly | 2141544 | 1 | 12/18/1997 | Customer Dispute | Settled | $164,127.00 | $0.00 | See FINRA Report |
| Joseph George Rice | 1421673 | 1 | 12/01/1997 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Paul Anthony Manfrey | 1866271 | 3 | 11/01/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Stephen Trigg Kuhn | 502569 | 1 | 10/02/1997 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Philip L Evans | 1647769 | 2 | 09/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |