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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Michael Riley | 2396771 | 1 | 10/20/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 09/30/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa Lynn Stella | 1628629 | 2 | 09/28/1998 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Andrew James Siegel | 2241036 | 1 | 09/28/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Ross Porter Grant | 856782 | 1 | 09/22/1998 | Customer Dispute | Settled | $7,800.00 | $0.00 | See FINRA Report |
| William Trent Ridd | 1141982 | 1 | 09/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven L Simmerman | 2591072 | 5 | 09/16/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Wesley Blades | 4748469 | 1 | 09/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Leo Coleman | 847936 | 3 | 09/04/1998 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| W Eric Gleason | 2352398 | 2 | 08/31/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |