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 |
|---|---|---|---|---|---|---|---|---|
| Bernard J Cohen | 49772 | 2 | 08/08/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Todd Southerland | 2229092 | 2 | 08/05/1997 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Matthew John Burger | 1086382 | 3 | 07/21/1997 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Matthew John Burger | 1086382 | 3 | 07/21/1997 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Allen Biermann | 1096533 | 1 | 07/16/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James J Dowd | 1155775 | 6 | 06/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 03/06/1997 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| James Vernon Hart | 1122114 | 3 | 12/02/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David L Allen | 731100 | 1 | 09/09/1996 | Customer Dispute | Settled | $308,000.00 | $0.00 | See FINRA Report |
| Mark Allen Moyer | 1753290 | 2 | 07/22/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |