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 |
|---|---|---|---|---|---|---|---|---|
| Mark Joel Rubin | 1936202 | 3 | 04/12/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Genevieve Leigh Degraeve | 6094539 | 1 | 04/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Peabody | 1022774 | 3 | 04/06/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Orland Paris | 2529856 | 2 | 03/21/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Woodley Heath | 2633563 | 2 | 03/15/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Russel Kean | 1269587 | 6 | 03/09/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Benjamin Posey | 2264973 | 1 | 03/02/2005 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See FINRA Report |
| Daniel Marc Kleinheksel | 2642285 | 1 | 02/22/2005 | Customer Dispute | Denied | $14,821.40 | $0.00 | See FINRA Report |
| Christopher Shannon Montgomery | 2023937 | 2 | 02/22/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Troy Howard | 2264121 | 3 | 02/22/2005 | Customer Dispute | Settled | $7,814.51 | $0.00 | See FINRA Report |