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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Thomas Spires | 2994653 | 3 | 04/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Allen Gilmour | 6250470 | 1 | 04/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Artis Wiggins | 6398416 | 1 | 04/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Casimiri | 3005381 | 2 | 03/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Branton Laird | 4296982 | 1 | 03/10/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Sardina | 3068885 | 3 | 03/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Lynn McAndrew | 6494447 | 2 | 03/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 02/08/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Douglas Alfred Berl | 19535 | 2 | 01/25/2022 | Customer Dispute | Denied | $17,356.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 01/20/2022 | Customer Dispute | Settled | $9,880.66 | $0.00 | See FINRA Report |