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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Fredrick Schwartz | 2333130 | 2 | 07/12/2004 | Customer Dispute | Denied | $15,844.20 | $0.00 | See FINRA Report |
| Douglas Marchand Minor | 3196901 | 1 | 07/08/2004 | Customer Dispute | Settled | $39,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Dowd | 2379831 | 3 | 07/05/2004 | Customer Dispute | Settled | $12,989.00 | $0.00 | See FINRA Report |
| Louis Weihon Joe | 258778 | 4 | 06/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Hilary Cotton | 2323232 | 4 | 06/14/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Harless | 1882246 | 3 | 06/10/2004 | Customer Dispute | Denied | $26,219.20 | $0.00 | See FINRA Report |
| W Gage Logan | 1753266 | 3 | 06/09/2004 | Customer Dispute | Closed-No Action | $266,359.00 | $0.00 | See FINRA Report |
| Jarrod Edward Biebel | 2182514 | 1 | 06/03/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Geoffrey Case Gatlin | 2923439 | 5 | 06/02/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Anthony Agosta | 1728380 | 1 | 05/30/2004 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |