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 |
|---|---|---|---|---|---|---|---|---|
| Keith Ameche Davis | 2292126 | 2 | 06/29/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Peabody | 1022774 | 3 | 06/26/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Steven Wayne Gustafson | 2482384 | 3 | 06/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith O Marks | 2037542 | 1 | 06/19/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Bruce Body | 1547342 | 5 | 06/18/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Daniel Hitchcock | 1333451 | 4 | 06/15/2001 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Velarde | 1707166 | 5 | 06/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Keld Madsen | 1423044 | 1 | 05/18/2001 | Customer Dispute | Settled | $13,775.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 05/11/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Steven Koester | 5225847 | 1 | 05/10/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |