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 |
|---|---|---|---|---|---|---|---|---|
| Frank Jerome Grossman | 1669231 | 3 | 08/09/2006 | Customer Dispute | Settled | $5,959.19 | $0.00 | See FINRA Report |
| Bradley Joseph Kaminski | 4417409 | 1 | 08/07/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandi Miller-Montgomery | 6333384 | 3 | 08/01/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Edward Dunn | 2977211 | 2 | 07/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gordon Nathan Clakley | 1422251 | 2 | 07/24/2006 | Customer Dispute | Closed-No Action | $40,341.60 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 07/18/2006 | Customer Dispute | Settled | $775,000.00 | $0.00 | See FINRA Report |
| Gil Rubio | 2551136 | 1 | 07/12/2006 | Customer Dispute | Denied | $57,278.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Hall | 2707163 | 9 | 07/11/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Brian Fink | 1787670 | 1 | 07/07/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 06/30/2006 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |