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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Ferguson | 1451570 | 4 | 03/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimball Stanley III Bullard | 3218049 | 6 | 03/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kimball Stanley III Bullard | 3218049 | 6 | 03/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark H Pearce | 2696479 | 2 | 03/13/2002 | Customer Dispute | Closed-No Action | $55,929.40 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 03/01/2002 | Customer Dispute | Denied | $55,681.50 | $0.00 | See FINRA Report |
| David Kyle Wills | 2814035 | 1 | 02/28/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Charles Ferguson | 1451570 | 4 | 02/27/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Hulen | 2237101 | 4 | 02/22/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James J Dowd | 1155775 | 6 | 02/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John M Delappe | 1903571 | 1 | 02/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |