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 |
|---|---|---|---|---|---|---|---|---|
| Charles Herbert Mulfinger | 1280892 | 2 | 10/15/2001 | Customer Dispute | Denied | $32,430.00 | $0.00 | See FINRA Report |
| Walter John Zelop | 1895664 | 4 | 10/11/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 10/09/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Arun Sardana | 2628077 | 1 | 10/03/2001 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Simon Robert Hamilton | 2148810 | 3 | 09/27/2001 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Aimee Lee Boggs | 2786700 | 3 | 09/27/2001 | Customer Dispute | Denied | $50,293.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 09/24/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 09/21/2001 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Peter Howard Silcox | 2195841 | 5 | 09/19/2001 | Customer Dispute | Settled | $113,321.00 | $0.00 | See FINRA Report |
| Mark Krauss | 1800899 | 3 | 09/17/2001 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See FINRA Report |