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 |
|---|---|---|---|---|---|---|---|---|
| Robert Phillip Weingard | 5550042 | 1 | 08/06/2020 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Russell William Stein | 434765 | 3 | 08/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nanci Lynn Roth | 1082213 | 1 | 08/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Shapiro | 2872328 | 5 | 07/31/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christina Ann Hawkins | 2622582 | 7 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Mesa Beaver | 3162582 | 1 | 07/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kendrick R Patterson | 7165108 | 1 | 07/02/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 06/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Chris Gruner | 2978088 | 2 | 06/23/2020 | Customer Dispute | Settled | $5,162,450.00 | $0.00 | See FINRA Report |
| Robert M Young | 7699304 | 1 | 06/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |