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 |
---|---|---|---|---|---|---|---|---|
Scott Fredric Teich | 2433587 | 8 | 12/19/2016 | Customer Dispute | Settled | $48,982.40 | $0.00 | See FINRA Report |
Alan Robert Rosenberg | 4156676 | 3 | 12/15/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
Ross Stuart Eng | 2617937 | 2 | 12/08/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
Matthew Joseph Kelly | 4288692 | 2 | 11/03/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
Stephen Maynard Martin | 5186624 | 1 | 10/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Alan Miles Griffin | 853835 | 3 | 10/04/2016 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
George Edward Mathis | 4271854 | 3 | 08/17/2016 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
Raymond Anthony Gutowski | 2572346 | 10 | 07/22/2016 | Customer Dispute | Settled | $364,000.00 | $0.00 | See FINRA Report |
Craig Hampton Decker | 2697472 | 2 | 07/20/2016 | Customer Dispute | Settled | $182,624.00 | $0.00 | See FINRA Report |
John Burke Strange | 1388763 | 7 | 06/23/2016 | Customer Dispute | Settled | $18,543,400.00 | $0.00 | See FINRA Report |