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 |
|---|---|---|---|---|---|---|---|---|
| Erwin Anthony Beltran | 3006096 | 18 | 05/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John H Galbraith | 2917341 | 2 | 05/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meggan E Bosarge | 6552338 | 1 | 05/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared W Overacker | 6323829 | 2 | 04/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Murnane | 3112342 | 2 | 04/22/2021 | Customer Dispute | Denied | $48,972.50 | $0.00 | See FINRA Report |
| Renae Louise Cobern | 4307995 | 10 | 04/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina Sonya Tudela | 2269112 | 3 | 04/16/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 04/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven James Hocking | 4506824 | 1 | 04/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |