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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Matthew Joseph Kelly | 4288692 | 2 | 02/07/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David James McMiller | 6994500 | 1 | 02/02/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lee Thompson | 2920092 | 2 | 12/13/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 11/22/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Ary | 1668508 | 1 | 11/01/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nicholas Harring | 6072260 | 1 | 10/31/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tarek Z Salhab | 4286426 | 6 | 10/27/2006 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 10/24/2006 | Customer Dispute | Settled | $5,800.00 | $0.00 | See FINRA Report |
| John Christopher Correro | 3179667 | 2 | 10/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Leonhard | 1414125 | 2 | 10/06/2006 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |