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 |
|---|---|---|---|---|---|---|---|---|
| Barry D Richter | 1387197 | 9 | 09/18/2020 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 09/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Marc Sobel | 2014407 | 1 | 09/15/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Gaffney | 2580026 | 4 | 09/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen A Kimmel | 5397407 | 3 | 08/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 08/27/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kostas Nickolas Mattis | 5399132 | 3 | 08/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Hand Weingard | 867582 | 1 | 08/20/2020 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 08/17/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Renae Louise Cobern | 4307995 | 10 | 08/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |