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 |
|---|---|---|---|---|---|---|---|---|
| Karen Renee Carnes | 2011951 | 1 | 03/31/2001 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Jarrod W Hemry | 5677118 | 1 | 03/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 03/27/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James A Hemenway | 2384784 | 2 | 03/26/2001 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| John Wayne Childers | 1065985 | 1 | 03/26/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Dewey Everette Isom | 1453668 | 1 | 03/21/2001 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Velarde | 1707166 | 5 | 03/19/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Bruce John Sallah | 722092 | 1 | 03/15/2001 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Stuhlsatz | 1401703 | 2 | 03/15/2001 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Michael Stuart Lubin | 2942263 | 2 | 03/13/2001 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |