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 |
|---|---|---|---|---|---|---|---|---|
| Marc Barry Orloff | 2522583 | 1 | 05/27/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John David Thomas | 2466247 | 3 | 05/18/1998 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 03/20/1998 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Douglas Alfred Berl | 19535 | 2 | 03/08/1998 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Wesley Calvin Brumfield | 1269941 | 2 | 03/01/1998 | Customer Dispute | Settled | $149,956.00 | $0.00 | See FINRA Report |
| Steven Roy Weisberg | 724667 | 1 | 02/05/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 01/22/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Heather Eskew | 5863985 | 3 | 01/15/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Heather Eskew | 5863985 | 3 | 01/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Pridemore Kelly | 2141544 | 1 | 12/18/1997 | Customer Dispute | Settled | $164,127.00 | $0.00 | See FINRA Report |