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 |
|---|---|---|---|---|---|---|---|---|
| Richard Craig Harris | 1114254 | 1 | 07/06/2000 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Margaret Mary Kimmel | 2590587 | 1 | 06/16/2000 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Vanderweele | 1725985 | 3 | 06/16/2000 | Customer Dispute | Settled | $5,906.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Vanderweele | 1725985 | 3 | 06/15/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry D Richter | 1387197 | 9 | 06/08/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence W Gonnello | 2591188 | 1 | 06/07/2000 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Laura Anne Sullivan | 2208920 | 3 | 05/24/2000 | Customer Dispute | Settled | $12,225.00 | $0.00 | See FINRA Report |
| Linda Anne O Loughlin | 2193920 | 1 | 05/23/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Bennett | 1277601 | 1 | 05/19/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Christopher Allen | 1614976 | 1 | 05/15/2000 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |