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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo James Armijo | 2694904 | 3 | 11/23/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 11/19/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Wendsday L Hughes | 5500337 | 1 | 11/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn August Pahnke | 1803352 | 3 | 11/01/2020 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Richard W Berquist | 5870888 | 1 | 10/25/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theresa L McMasters | 4015437 | 16 | 10/17/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Aaron Boggan | 7383531 | 1 | 10/09/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Cronin | 7283341 | 1 | 10/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared W Overacker | 6323829 | 2 | 09/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Nikki Shechtman | 7422791 | 1 | 09/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |