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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alan Corona | 2366356 | 8 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Cecil Chadwell | 2269463 | 1 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael William Townsend | 2244230 | 3 | 01/02/2001 | Customer Dispute | Settled | $32,625.00 | $0.00 | See FINRA Report |
| Todd Leonard Sherman | 2518209 | 3 | 12/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Umbarger | 3132496 | 1 | 12/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul David Willson | 2392141 | 6 | 12/19/2000 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Heidi Suzanne Gough | 2141253 | 4 | 12/18/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Cohen | 50061 | 3 | 12/15/2000 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Prescott Alan Barkow | 1552583 | 2 | 12/12/2000 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Anthony Charles Han | 2258478 | 3 | 11/29/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |