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 |
---|---|---|---|---|---|---|---|---|
Paul Stephenson Burd | 1261746 | 2 | 06/28/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Susan Gwynn Carlyon | 2872674 | 1 | 06/22/2006 | Customer Dispute | Settled | $52,246.50 | $0.00 | See FINRA Report |
Gregg Walter Stupinski | 2068917 | 3 | 06/21/2006 | Customer Dispute | Settled | $6,600.00 | $0.00 | See FINRA Report |
Abu B M Farukh | 705171 | 4 | 06/13/2006 | Customer Dispute | Denied | $34,952.20 | $0.00 | See FINRA Report |
Phillip Roland Valadez | 2525792 | 3 | 06/13/2006 | Customer Dispute | Closed-No Action | $5,841.00 | $0.00 | See FINRA Report |
Richard Paul Altieri | 1951972 | 5 | 06/05/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Rushton K Allen | 6233196 | 2 | 05/31/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Tarek Z Salhab | 4286426 | 6 | 05/22/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Michael Edward Rose | 4409049 | 2 | 05/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Nathan J Fair | 4040432 | 1 | 05/10/2006 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |