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FINRA Broker Disclosures for Raymond James & Associates, Inc.

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.

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Displaying 71-80 out of 795 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Scott Fredric Teich2433587812/19/2016Customer DisputeSettled$48,982.40$0.00See FINRA Report
Alan Robert Rosenberg4156676312/15/2016Customer DisputeSettled$150,000.00$0.00See FINRA Report
Ross Stuart Eng2617937212/08/2016Customer DisputeSettled$5,000.00$0.00See FINRA Report
Matthew Joseph Kelly4288692211/03/2016Customer DisputeSettled$150,000.00$0.00See FINRA Report
Stephen Maynard Martin5186624110/24/2016Customer DisputeSettled$0.00$0.00See FINRA Report
Alan Miles Griffin853835310/04/2016Customer DisputeSettled$18,000.00$0.00See FINRA Report
George Edward Mathis4271854308/17/2016Customer DisputeSettled$190,000.00$0.00See FINRA Report
Raymond Anthony Gutowski25723461007/22/2016Customer DisputeSettled$364,000.00$0.00See FINRA Report
Craig Hampton Decker2697472207/20/2016Customer DisputeSettled$182,624.00$0.00See FINRA Report
John Burke Strange1388763706/23/2016Customer DisputeSettled$18,543,400.00$0.00See FINRA Report

795 Results

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