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 |
|---|---|---|---|---|---|---|---|---|
| Brett Anthony Thompson | 2881580 | 1 | 07/13/2007 | Customer Dispute | Settled | $17,059.00 | $0.00 | See FINRA Report |
| Bob Dale Cackley | 1620378 | 1 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Andrew Cackley | 2659346 | 1 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Joseph Gerald Offerman | 1748188 | 2 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Hall | 2707163 | 9 | 06/25/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Paul David Willson | 2392141 | 6 | 06/12/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brennan Patrick Kelly | 4557479 | 2 | 06/11/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Henderson Anthony | 1248414 | 1 | 05/31/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick James Rickey | 1143497 | 1 | 05/30/2007 | Customer Dispute | Settled | $7,198.90 | $0.00 | See FINRA Report |
| Robert Gordon Krebs | 2344834 | 3 | 04/30/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |