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 |
|---|---|---|---|---|---|---|---|---|
| Kristen A Ragusin | 2291576 | 2 | 07/16/1999 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 07/14/1999 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Barry D Richter | 1387197 | 9 | 07/09/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Dennis Oliver | 6233465 | 1 | 07/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Arlen Morrison | 1147477 | 4 | 06/24/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Octave Joseph Francis | 1590513 | 3 | 06/23/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 06/11/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerald Master Lowe | 1930469 | 3 | 06/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Fredric Teich | 2433587 | 8 | 06/04/1999 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Edward Brian Newman | 1951603 | 2 | 06/03/1999 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |