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 |
|---|---|---|---|---|---|---|---|---|
| John Christopher Correro | 3179667 | 2 | 09/22/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adam James Campbell | 2439712 | 2 | 09/07/2004 | Customer Dispute | Closed-No Action | $47,460.00 | $0.00 | See FINRA Report |
| Jeff Storm Harkavy | 1545029 | 1 | 08/20/2004 | Customer Dispute | Settled | $21,733.00 | $0.00 | See FINRA Report |
| Fred Simon Maschmidt | 2813824 | 3 | 08/17/2004 | Customer Dispute | Denied | $9,017.32 | $0.00 | See FINRA Report |
| Michael Charles Garlisi | 3007735 | 1 | 08/09/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lee Lee Haverstock | 2496012 | 3 | 08/06/2004 | Customer Dispute | Settled | $89,350.60 | $0.00 | See FINRA Report |
| Alan Scott Moore | 2290289 | 2 | 07/30/2004 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Gary Alan Rigby | 1472354 | 1 | 07/28/2004 | Customer Dispute | Settled | $29,674.00 | $0.00 | See FINRA Report |
| Stephan Craig MacHovina | 2077408 | 1 | 07/22/2004 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Gerald Master Lowe | 1930469 | 3 | 07/20/2004 | Customer Dispute | Denied | $9,082.76 | $0.00 | See FINRA Report |