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 Stephen Heck | 2366044 | 1 | 05/09/2003 | Customer Dispute | Denied | $238,740.00 | $0.00 | See FINRA Report |
| James Preston Covington | 1302068 | 5 | 05/07/2003 | Customer Dispute | Award / Judgment | $35,000.00 | $6,000.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 05/05/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 05/05/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anothip Zimmerman | 2481449 | 1 | 05/02/2003 | Customer Dispute | Withdrawn | $115,646.00 | $0.00 | See FINRA Report |
| Robert D Williams | 826960 | 5 | 04/25/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Kirk Hearn | 1273683 | 1 | 04/24/2003 | Customer Dispute | Settled | $388,000.00 | $0.00 | See FINRA Report |
| Kenneth Michael Lampos | 2314521 | 1 | 04/23/2003 | Customer Dispute | Award / Judgment | $850,000.00 | $250,000.00 | See FINRA Report |
| Lawson Hugh Ballard | 1146807 | 2 | 04/14/2003 | Customer Dispute | Denied | $172,346.00 | $0.00 | See FINRA Report |
| Richard Mandel Stern | 825096 | 6 | 04/11/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |