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 |
|---|---|---|---|---|---|---|---|---|
| Willie Ray Horn | 1362201 | 5 | 04/12/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Laiter | 2762564 | 1 | 04/12/2002 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| Casey Bulgin | 4622213 | 1 | 04/11/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Gustafson | 2482384 | 3 | 04/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Brian Stillwell | 2166439 | 2 | 04/02/2002 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Robert Willis Pehl | 1310120 | 1 | 04/02/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Brent Steven Burrows | 1586371 | 1 | 03/28/2002 | Customer Dispute | Denied | $87,632.00 | $0.00 | See FINRA Report |
| Charles Alonzo Church | 1142286 | 1 | 03/22/2002 | Customer Dispute | Settled | $164,258.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 03/15/2002 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| David Gillaspy | 2885981 | 2 | 03/15/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |