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 |
|---|---|---|---|---|---|---|---|---|
| Clay Cale Rucker | 1347169 | 1 | 06/09/2017 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Joseph Erik Zenker | 2711588 | 5 | 06/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Pesce | 5525710 | 1 | 05/17/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Philip Charles Ohman | 1286497 | 1 | 05/15/2017 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ashley Susan Thomas | 6113333 | 1 | 05/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Duane Yoder | 2231648 | 1 | 05/08/2017 | Customer Dispute | Settled | $1,128,410.00 | $0.00 | See FINRA Report |
| Matthew August Glatz | 2894881 | 1 | 05/08/2017 | Customer Dispute | Settled | $1,128,410.00 | $0.00 | See FINRA Report |
| Suzanne Catherine Latour | 1893219 | 1 | 02/09/2017 | Customer Dispute | Settled | $98,172.20 | $0.00 | See FINRA Report |
| Mark Todd Holbert | 3169468 | 1 | 02/06/2017 | Customer Dispute | Settled | $1,474,470.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 01/02/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |