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 |
|---|---|---|---|---|---|---|---|---|
| Howard Franzblau | 1198016 | 1 | 08/28/2002 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Andrew Charles Jensen | 2613768 | 2 | 08/19/2002 | Customer Dispute | Denied | $69,708.50 | $0.00 | See FINRA Report |
| Alex Ivan Gallego | 1908462 | 8 | 08/16/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Geraldine Anne Spinella | 1014228 | 1 | 08/15/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 08/09/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Marvin Fierman | 1078834 | 1 | 08/08/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Thomas Alva Whitehurst | 1510137 | 2 | 08/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 07/25/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brian Todd Southerland | 2229092 | 2 | 07/23/2002 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Rachel Marie Holland | 6195098 | 1 | 07/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |