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 Alan Marshall | 320785 | 4 | 12/18/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Linda Diane Stirling | 1721461 | 1 | 12/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harvey Jay McInerney | 705363 | 5 | 12/16/2002 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Joseph Alan Marshall | 320785 | 4 | 12/16/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Eric Clarence Seidl | 3008423 | 1 | 12/16/2002 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Richard Alan Fontana | 727011 | 1 | 12/10/2002 | Customer Dispute | Settled | $30,474.70 | $0.00 | See FINRA Report |
| Donald Dean Horras | 1056123 | 8 | 12/06/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy James Owen | 1132045 | 1 | 12/03/2002 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Mark H Pearce | 2696479 | 2 | 12/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Alan Marshall | 320785 | 4 | 11/07/2002 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |