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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Mitchell | 3091132 | 2 | 07/01/2008 | Customer Dispute | Denied | $63,326.00 | $0.00 | See FINRA Report |
| Ira Michael Bauman | 1079115 | 3 | 06/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Salo Lerner | 874660 | 3 | 06/16/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Alan Fogleman | 1334492 | 1 | 06/13/2008 | Customer Dispute | Settled | $5,100.00 | $0.00 | See FINRA Report |
| Mary Angela Lauritano | 1733678 | 2 | 06/12/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Christopher Johnson | 2623646 | 1 | 06/11/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Anne Branton | 1764824 | 3 | 06/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Wujczyk | 2583513 | 1 | 06/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Barron Williams | 2942410 | 1 | 06/05/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gordon Nathan Clakley | 1422251 | 2 | 05/30/2008 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |