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 |
|---|---|---|---|---|---|---|---|---|
| Christina Ann Hawkins | 2622582 | 7 | 03/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John H Galbraith | 2917341 | 2 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ana Maria Wagner | 5956842 | 1 | 03/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jasmine Antionette Small | 6714769 | 4 | 03/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Romain Spell | 5644797 | 1 | 03/17/2021 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Sara Yasmin Qazi | 4118177 | 5 | 03/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Q de Oliveira | 2732811 | 2 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Rodrigo Sideris | 4663498 | 1 | 03/12/2021 | Customer Dispute | Settled | $1,457,700.00 | $0.00 | See FINRA Report |
| Amy Claire Barrett | 4391805 | 1 | 03/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 03/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |