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 |
|---|---|---|---|---|---|---|---|---|
| Charles Thomas Zimmerman | 2305498 | 2 | 08/30/1999 | Customer Dispute | Settled | $469,275.00 | $0.00 | See FINRA Report |
| Amy Christine Pryor Horak | 2387318 | 1 | 08/27/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Philip Regent | 2190700 | 2 | 08/24/1999 | Customer Dispute | Denied | $8,430.90 | $0.00 | See FINRA Report |
| William F Wolbrecht | 1403619 | 5 | 08/23/1999 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 08/06/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 08/02/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vance Richard Burks | 1078871 | 2 | 07/26/1999 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Karen Kikue Yoshimura Yasukawa | 1540654 | 1 | 07/21/1999 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Todd Richard Kingsley | 1157001 | 2 | 07/19/1999 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Leah Leslie Watkins | 4808474 | 1 | 07/19/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |