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 |
|---|---|---|---|---|---|---|---|---|
| Daniel David Herman | 2860588 | 3 | 09/11/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randy Boyd Rankin | 1027347 | 3 | 09/10/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theodore Leon White | 2127249 | 2 | 08/28/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Forrest Burnett | 2367983 | 9 | 08/21/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott David Sullivan | 1205884 | 1 | 08/20/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sean Cornelius Suarez | 4663865 | 2 | 08/06/2007 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Karen Lynn Gallahar | 2062655 | 1 | 07/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Stephen Johnson | 2041695 | 2 | 07/23/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 07/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Booty Doherty | 2549658 | 6 | 07/17/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |