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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Thomas Whitfield | 1827975 | 3 | 07/19/2008 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Hall | 2707163 | 9 | 06/25/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Robert Lokar | 1083795 | 2 | 04/20/2007 | Customer Dispute | Withdrawn | $36,000.00 | $0.00 | See FINRA Report |
| W Eric Gleason | 2352398 | 2 | 11/03/2005 | Customer Dispute | Withdrawn | $17,161.00 | $0.00 | See FINRA Report |
| Anothip Zimmerman | 2481449 | 1 | 05/02/2003 | Customer Dispute | Withdrawn | $115,646.00 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 04/02/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Lawrence Caso | 1587538 | 5 | 04/01/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 10/03/2002 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Courtney Keith Anderson | 2167940 | 1 | 12/15/1998 | Customer Dispute | Withdrawn | $13,910.00 | $0.00 | See FINRA Report |
| Mark William Wardzinski | 2384268 | 2 | 11/03/1998 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See FINRA Report |