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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin N Bayly | 4772888 | 2 | 04/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stevan Douglas Paton | 2212011 | 3 | 04/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Frederich Simpson | 2554573 | 1 | 04/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Cotton Dexter | 2677344 | 1 | 04/10/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Robert Havranek | 2299632 | 8 | 04/07/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sara Yasmin Qazi | 4118177 | 5 | 04/01/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Paul Hirsch | 1104240 | 4 | 04/01/2008 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Joshua W Rogers | 4291672 | 1 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven G Williams | 2383887 | 1 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |