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 |
|---|---|---|---|---|---|---|---|---|
| Kieran Thomas Maloney | 1895667 | 3 | 05/03/2002 | Customer Dispute | Denied | $165,000.00 | $0.00 | See FINRA Report |
| Rachel Begun Gammerman | 2712421 | 2 | 05/02/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| John Earling Fitch | 2649598 | 1 | 05/01/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elliot Weissmark | 3042550 | 7 | 04/30/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Howard Silcox | 2195841 | 5 | 04/24/2002 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Kevin Morris Gourrier | 1727253 | 2 | 04/24/2002 | Customer Dispute | Settled | $553,648.00 | $0.00 | See FINRA Report |
| Peter Howard Silcox | 2195841 | 5 | 04/22/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Lee Lee Haverstock | 2496012 | 3 | 04/19/2002 | Customer Dispute | Settled | $365,000.00 | $0.00 | See FINRA Report |
| Alan Todd Patten | 2068984 | 1 | 04/19/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Richard Amick | 2707196 | 2 | 04/17/2002 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |