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 |
|---|---|---|---|---|---|---|---|---|
| William Hosea Shepard | 2594416 | 2 | 09/30/2002 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| William Harold Greer | 2426757 | 2 | 09/18/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Simon Robert Hamilton | 2148810 | 3 | 09/16/2002 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Mark Joel Rubin | 1936202 | 3 | 09/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Silas William Gassett | 873141 | 2 | 09/10/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Michael Edward Rose | 4409049 | 2 | 09/08/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Harvey Lockwood | 1030298 | 1 | 09/05/2002 | Customer Dispute | Denied | $15,605.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Allan Walsh | 458092 | 6 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carrie Ellyn Esposito | 6279864 | 2 | 08/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |