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 |
|---|---|---|---|---|---|---|---|---|
| Mark John Napolitano | 2694953 | 1 | 01/24/2003 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| David Scott Ross | 2628746 | 3 | 01/24/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Steven Wayne Gustafson | 2482384 | 3 | 01/21/2003 | Customer Dispute | Denied | $87,874.00 | $0.00 | See FINRA Report |
| Patrick Rea Yates | 1421661 | 2 | 01/17/2003 | Customer Dispute | Denied | $46,366.00 | $0.00 | See FINRA Report |
| Patricia Strauss Otterson | 1051951 | 1 | 01/16/2003 | Customer Dispute | Pending | $31,227.70 | $0.00 | See FINRA Report |
| Ronald Thomas Deal | 1123946 | 1 | 01/16/2003 | Customer Dispute | Denied | $6,637.00 | $0.00 | See FINRA Report |
| Gregg Walter Stupinski | 2068917 | 3 | 01/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Aaron Feldman | 2781777 | 1 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Howard Silcox | 2195841 | 5 | 01/10/2003 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| William Barton Close | 1397016 | 1 | 12/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |