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 |
|---|---|---|---|---|---|---|---|---|
| Joseph George Rice | 1421673 | 1 | 12/01/1997 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Desiree A Reil | 2151106 | 1 | 11/25/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Manfrey | 1866271 | 3 | 11/01/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| James Michael Moreno | 3120834 | 1 | 10/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Trigg Kuhn | 502569 | 1 | 10/02/1997 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Paul Michael Hulen | 2237101 | 4 | 09/30/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip L Evans | 1647769 | 2 | 09/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ian Stuart Rice | 4738666 | 1 | 09/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Heather Eskew | 5863985 | 3 | 09/11/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Roger Gaeckler | 1059215 | 4 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |