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 |
|---|---|---|---|---|---|---|---|---|
| Tommy Edward Elms | 2087146 | 1 | 06/09/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Peters | 3222363 | 1 | 05/30/2003 | Customer Dispute | Denied | $44,582.00 | $0.00 | See FINRA Report |
| James Alfred Ducharme | 2398250 | 1 | 05/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 05/27/2003 | Customer Dispute | Settled | $106,997.00 | $0.00 | See FINRA Report |
| Michael Jay Shapiro | 2872328 | 5 | 05/21/2003 | Customer Dispute | Denied | $68,250.00 | $0.00 | See FINRA Report |
| Barry Lee Garber | 2196068 | 1 | 05/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alex Ivan Gallego | 1908462 | 8 | 05/21/2003 | Customer Dispute | Settled | $159,116.00 | $0.00 | See FINRA Report |
| Michelle L Marquez | 2963891 | 1 | 05/20/2003 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Shannon Montgomery | 2023937 | 2 | 05/20/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James David Perry | 2492072 | 1 | 05/09/2003 | Customer Dispute | Settled | $31,108.00 | $0.00 | See FINRA Report |