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 David Crawford | 1837069 | 1 | 05/26/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Hilary Cotton | 2323232 | 4 | 05/19/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Hulen | 2237101 | 4 | 05/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Einar Hudson | 1398095 | 3 | 05/17/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Rikio Ban | 1810619 | 2 | 05/12/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Kernan | 2203070 | 1 | 05/11/2004 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 05/04/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Charles Thompson | 827534 | 3 | 05/03/2004 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Craig Hampton Decker | 2697472 | 2 | 04/30/2004 | Customer Dispute | Settled | $88,228.00 | $0.00 | See FINRA Report |
| Robert Valdez | 6247074 | 1 | 04/29/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |