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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey William Moore | 3094211 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Anne Landry | 1967111 | 1 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/04/2021 | Customer Dispute | Settled | $4,209,000.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 12/20/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan E Weiss | 5520555 | 1 | 12/15/2020 | Customer Dispute | Closed-No Action | $116,500.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 12/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Allen Vaughn | 3076744 | 2 | 12/05/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marie Louise Komar | 2944844 | 4 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marie Louise Komar | 2944844 | 4 | 12/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |