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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Edward Michels | 3076196 | 1 | 10/22/2021 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Claudia Ochoa-Espejo | 6540810 | 1 | 09/24/2021 | Customer Dispute | Settled | $119,311.00 | $0.00 | See FINRA Report |
| Ruth Zambo Kitzmann | 2579799 | 3 | 09/17/2021 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory James Duncan-Peters | 1036642 | 1 | 09/13/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marie Louise Komar | 2944844 | 4 | 09/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Rudd | 1730565 | 1 | 08/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Kirk Bordelon | 3175386 | 2 | 07/28/2021 | Customer Dispute | Denied | $31,456.40 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 07/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles William Gillingham | 2521606 | 3 | 07/19/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 06/08/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |