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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Sharpham Jones | 2037546 | 8 | 11/06/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Michael Stephen Lavera | 2630020 | 1 | 11/04/2003 | Customer Dispute | Settled | $471,000.00 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 11/03/2003 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Andrew George Sukhin | 2102283 | 9 | 10/30/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David C Jensen | 2295972 | 1 | 10/27/2003 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Gregory Dale Williams | 2140295 | 2 | 10/15/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Timothy Allan Klingensmith | 1988290 | 4 | 10/14/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Larry Joseph Ellis | 1523886 | 1 | 10/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harmon M Wright | 1670292 | 2 | 10/08/2003 | Customer Dispute | Denied | $28,982.70 | $0.00 | See FINRA Report |
| Luke Hazelett Mattson | 5005472 | 1 | 09/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |