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 |
|---|---|---|---|---|---|---|---|---|
| Fred Simon Maschmidt | 2813824 | 3 | 01/29/2004 | Customer Dispute | Denied | $40,005.00 | $0.00 | See FINRA Report |
| William Richard Dagistino | 1645736 | 2 | 01/23/2004 | Customer Dispute | Denied | $167,547.00 | $0.00 | See FINRA Report |
| Russell Hilary Cotton | 2323232 | 4 | 01/21/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lance Anthony Nell | 2264257 | 2 | 01/21/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 01/20/2004 | Customer Dispute | Settled | $7,380.00 | $0.00 | See FINRA Report |
| Evan Andrew Price | 1448976 | 1 | 01/20/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert D Williams | 826960 | 5 | 12/17/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Benjamin Fletcher | 2492089 | 2 | 12/17/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicole Zielke Harris | 2601113 | 5 | 11/20/2003 | Customer Dispute | Settled | $36,796.90 | $0.00 | See FINRA Report |
| Patricia Lynn Sans | 1155239 | 2 | 11/18/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |