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 | 06/01/1999 | Customer Dispute | Settled | $469,275.00 | $0.00 | See FINRA Report |
| Michael Anthony Velarde | 1707166 | 5 | 05/28/1999 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 05/19/1999 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| John Robb Edgecomb | 722853 | 1 | 05/12/1999 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Martha Jean Stevens | 1883501 | 1 | 04/15/1999 | Customer Dispute | Denied | $8,612.04 | $0.00 | See FINRA Report |
| Jeffrey Edward Blum | 3162401 | 1 | 03/26/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Bryan Berman | 717991 | 6 | 03/24/1999 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 03/16/1999 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Robert Besse | 2466615 | 1 | 03/08/1999 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Mark Ian Leyton | 1730251 | 2 | 03/05/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |