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 Einar Hudson | 1398095 | 3 | 02/12/2002 | Customer Dispute | Settled | $265,000.00 | $0.00 | See FINRA Report |
| Kimball Stanley III Bullard | 3218049 | 6 | 02/05/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin James Cahill | 1589849 | 3 | 02/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 01/31/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Kendra Chanelle Jones | 6485400 | 1 | 01/25/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 01/22/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Marie Jones | 2852037 | 1 | 01/10/2002 | Customer Dispute | Settled | $367,177.00 | $0.00 | See FINRA Report |
| Alex Ivan Gallego | 1908462 | 8 | 01/08/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Sharpham Jones | 2037546 | 8 | 01/02/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 12/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |