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 |
|---|---|---|---|---|---|---|---|---|
| Derek Lee Daniels | 2004806 | 1 | 10/05/2006 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Robert Gordon Krebs | 2344834 | 3 | 10/03/2006 | Customer Dispute | Denied | $887,624.00 | $0.00 | See FINRA Report |
| Thomas Whitmeyer O'Brien | 2282208 | 2 | 09/22/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert H Eckert | 1440685 | 2 | 09/21/2006 | Customer Dispute | Settled | $16,435.00 | $0.00 | See FINRA Report |
| David Booty Doherty | 2549658 | 6 | 09/19/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Velarde | 1707166 | 5 | 09/18/2006 | Customer Dispute | Denied | $900,000.00 | $0.00 | See FINRA Report |
| Dominick Vincent Paonessa | 4485797 | 2 | 09/08/2006 | Customer Dispute | Denied | $14,838.10 | $0.00 | See FINRA Report |
| Patricia Botticelli Bennett | 4490199 | 1 | 08/31/2006 | Customer Dispute | Denied | $20,641.20 | $0.00 | See FINRA Report |
| Peter Leslie Bermont | 19753 | 1 | 08/23/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Hartman | 1157759 | 2 | 08/15/2006 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |