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 |
|---|---|---|---|---|---|---|---|---|
| Wiley Richard Gardner | 1177348 | 3 | 03/03/1999 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Bradford Skidmore Parsons | 2941055 | 2 | 02/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Steven Cohen | 707161 | 2 | 02/24/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elias Tache | 1800891 | 1 | 02/23/1999 | Customer Dispute | Denied | $18,880.00 | $0.00 | See FINRA Report |
| Joel Sanford Singer | 1249076 | 1 | 02/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Miles Griffin | 853835 | 3 | 02/11/1999 | Customer Dispute | Award / Judgment | $1,400,000.00 | $797,901.00 | See FINRA Report |
| Jason Eric Goldberg | 2920117 | 1 | 02/09/1999 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Willie Ray Horn | 1362201 | 5 | 02/02/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rachel Begun Gammerman | 2712421 | 2 | 01/19/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Terry Platt | 2022209 | 1 | 01/12/1999 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |