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 |
|---|---|---|---|---|---|---|---|---|
| William Bradford Sullivan | 1391047 | 6 | 08/01/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roy Scott Sachs | 2377881 | 1 | 07/25/2005 | Customer Dispute | Denied | $305,147.00 | $0.00 | See FINRA Report |
| Randy Boyd Rankin | 1027347 | 3 | 06/08/2005 | Customer Dispute | Settled | $18,881.60 | $0.00 | See FINRA Report |
| Christopher Stephen Gallo | 2448290 | 1 | 06/06/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Desquitado | 4084609 | 1 | 05/28/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Peabody | 1022774 | 3 | 05/27/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Allan Klingensmith | 1988290 | 4 | 04/20/2005 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Richard Paul Altieri | 1951972 | 5 | 04/18/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Derek Scott Dyer | 6490840 | 1 | 04/16/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Matthew Davis | 4197666 | 1 | 04/12/2005 | Customer Dispute | Denied | $37,500.00 | $0.00 | See FINRA Report |