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 |
|---|---|---|---|---|---|---|---|---|
| Michael R Teller | 2708547 | 1 | 02/09/2005 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Jeffrey Dean Clemmons | 2326210 | 2 | 02/07/2005 | Customer Dispute | Denied | $8,500.00 | $0.00 | See FINRA Report |
| Victoria Elena Azpurua | 2590291 | 1 | 02/03/2005 | Customer Dispute | Settled | $22,183.50 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 01/27/2005 | Customer Dispute | Settled | $10,775.20 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 01/24/2005 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Alan Robert Rosenberg | 4156676 | 3 | 01/21/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Mark Fleck | 1054723 | 1 | 01/19/2005 | Customer Dispute | Denied | $293,844.00 | $0.00 | See FINRA Report |
| Paul Joseph Stanislau | 1376287 | 3 | 01/14/2005 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Michael Daniel McLaughlin | 2377813 | 1 | 11/29/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Edward Zizmer | 1831746 | 2 | 11/23/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |