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 |
|---|---|---|---|---|---|---|---|---|
| Charles Michael Cooper | 2245955 | 3 | 11/15/2004 | Customer Dispute | Denied | $380,000.00 | $0.00 | See FINRA Report |
| Christian Ernst Langenstein | 1535975 | 4 | 11/03/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Daniel Hitchcock | 1333451 | 4 | 11/02/2004 | Customer Dispute | Settled | $2,060,000.00 | $0.00 | See FINRA Report |
| Stephen Walter Hussey | 4395874 | 1 | 10/26/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Robert Lokar | 1083795 | 2 | 10/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mitshel Kein Lavander | 4063194 | 1 | 10/18/2004 | Customer Dispute | Denied | $23,900.00 | $0.00 | See FINRA Report |
| Scott Alan Ashmore | 2269345 | 2 | 10/13/2004 | Customer Dispute | Denied | $10,566.10 | $0.00 | See FINRA Report |
| Philip Milton Greer | 3138652 | 1 | 10/04/2004 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| James Downing Yonker | 4522109 | 1 | 09/29/2004 | Customer Dispute | Closed-No Action | $115,241.00 | $0.00 | See FINRA Report |
| Rushton K Allen | 6233196 | 2 | 09/22/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |