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 |
|---|---|---|---|---|---|---|---|---|
| Alex Ivan Gallego | 1908462 | 8 | 03/11/2001 | Customer Dispute | Denied | $67,000.00 | $0.00 | See FINRA Report |
| Robert Allen Vaughn | 3076744 | 2 | 03/09/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elliot Weissmark | 3042550 | 7 | 03/02/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Abu B M Farukh | 705171 | 4 | 02/28/2001 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Vincent Joseph Becker | 2178577 | 3 | 02/23/2001 | Customer Dispute | Award / Judgment | $45,000.00 | $21,749.90 | See FINRA Report |
| Harvey Jay McInerney | 705363 | 5 | 02/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harvey Jay McInerney | 705363 | 5 | 02/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Bruce Body | 1547342 | 5 | 02/21/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Dustin Robert Helm | 2316803 | 2 | 02/20/2001 | Customer Dispute | Denied | $127,000.00 | $0.00 | See FINRA Report |
| Scott Alan Cutliff | 2728259 | 2 | 02/18/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |