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 |
|---|---|---|---|---|---|---|---|---|
| Kurt H Klingenberg | 2384065 | 2 | 12/17/1999 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| William Roy Bredt | 1621507 | 4 | 12/13/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rhonda Lynn Rommel | 2558821 | 2 | 12/07/1999 | Customer Dispute | Award / Judgment | $250,000.00 | $75,000.00 | See FINRA Report |
| Gary Anthony Hernandez | 1763253 | 1 | 11/22/1999 | Customer Dispute | Closed-No Action | $184,088.00 | $0.00 | See FINRA Report |
| John Ray Earnhardt | 1018260 | 1 | 11/15/1999 | Customer Dispute | Settled | $52,011.80 | $0.00 | See FINRA Report |
| Gustav Albert Fingado | 1298754 | 1 | 11/11/1999 | Customer Dispute | Award / Judgment | $54,312.50 | $11,926.20 | See FINRA Report |
| Heidi Suzanne Gough | 2141253 | 4 | 10/29/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Astrid Rodriguez-Carranza | 2857018 | 2 | 10/18/1999 | Customer Dispute | Denied | $91,000.00 | $0.00 | See FINRA Report |
| James Vernon Hart | 1122114 | 3 | 10/12/1999 | Customer Dispute | Settled | $5,226.00 | $0.00 | See FINRA Report |
| Thad Benedict Fuller | 1272711 | 1 | 09/07/1999 | Customer Dispute | Settled | $78,280.40 | $0.00 | See FINRA Report |