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 |
|---|---|---|---|---|---|---|---|---|
| Jon Carney Emerson | 4031969 | 2 | 01/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Snipes | 2182199 | 5 | 01/14/2008 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Mirela Elliott | 4822431 | 3 | 01/14/2008 | Customer Dispute | Closed-No Action | $20,983.30 | $0.00 | See FINRA Report |
| Mirela Elliott | 4822431 | 3 | 01/14/2008 | Customer Dispute | Closed-No Action | $10,003.70 | $0.00 | See FINRA Report |
| Ralph Anthony Liberatore | 1589263 | 4 | 01/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Norman Disspain | 4433196 | 1 | 01/09/2008 | Customer Dispute | Settled | $58,500.00 | $0.00 | See FINRA Report |
| David Gillaspy | 2885981 | 2 | 12/28/2007 | Customer Dispute | Settled | $38,310.10 | $0.00 | See FINRA Report |
| Charles Landon Myers | 4551070 | 2 | 12/20/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ralph Anthony Liberatore | 1589263 | 4 | 12/14/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 11/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |