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 |
|---|---|---|---|---|---|---|---|---|
| Russell Darin Hurley | 2743470 | 2 | 05/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Suzanne Bradford | 1546047 | 1 | 05/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Scott Fernandez | 2377707 | 2 | 05/27/2008 | Customer Dispute | Settled | $1,975,000.00 | $0.00 | See FINRA Report |
| Joe Boyd Rowland | 1884662 | 4 | 05/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Walter Phelan | 2368301 | 1 | 05/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul James Rampolla | 1987892 | 1 | 05/15/2008 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Nicola Ann Rand | 6740958 | 2 | 05/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter John Zelop | 1895664 | 4 | 05/13/2008 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 05/06/2008 | Customer Dispute | Settled | $88,341.10 | $0.00 | See FINRA Report |
| Thomas Joseph Hussey | 1100307 | 1 | 05/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |