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 |
|---|---|---|---|---|---|---|---|---|
| John Jacob Wire | 1385752 | 1 | 11/29/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Megan Eunise McIlwain | 5834328 | 1 | 11/14/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allen Moyer | 1753290 | 2 | 11/06/2007 | Customer Dispute | Award / Judgment | $6,000,000.00 | $51,400.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 11/01/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan John Henry | 1199374 | 2 | 10/30/2007 | Customer Dispute | Denied | $29,489.80 | $0.00 | See FINRA Report |
| Stephen Thomas Whitfield | 1827975 | 3 | 10/23/2007 | Customer Dispute | Settled | $13,412.50 | $0.00 | See FINRA Report |
| Richard Anthony Ortega | 4162695 | 1 | 10/18/2007 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Homan Haghighi | 2796228 | 1 | 10/07/2007 | Customer Dispute | Denied | $64,500.00 | $0.00 | See FINRA Report |
| Kevin Michael Dowd | 2379831 | 3 | 09/25/2007 | Customer Dispute | Denied | $13,649.00 | $0.00 | See FINRA Report |
| Robert Anthony Shy | 1456248 | 2 | 09/13/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |