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 |
|---|---|---|---|---|---|---|---|---|
| Kieran Thomas Maloney | 1895667 | 3 | 09/05/2001 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| John Jay Schoff | 2232419 | 2 | 09/05/2001 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Robert Charles Brooks | 2210771 | 3 | 08/21/2001 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Adriana Frazier | 2445557 | 1 | 08/19/2001 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Vincent Joseph Becker | 2178577 | 3 | 08/17/2001 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| David Scott Notrica | 1203325 | 1 | 08/13/2001 | Customer Dispute | Settled | $983,299.00 | $0.00 | See FINRA Report |
| Kristen A Ragusin | 2291576 | 2 | 08/13/2001 | Customer Dispute | Denied | $12,184.00 | $0.00 | See FINRA Report |
| Charles William Gillingham | 2521606 | 3 | 08/02/2001 | Customer Dispute | Closed-No Action | $41,000.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 07/31/2001 | Customer Dispute | Denied | $288,180.00 | $0.00 | See FINRA Report |
| Charles Dean Crist | 2737241 | 3 | 07/30/2001 | Customer Dispute | Denied | $21,342.40 | $0.00 | See FINRA Report |