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 |
|---|---|---|---|---|---|---|---|---|
| David Roger Gaeckler | 1059215 | 4 | 09/05/1997 | Customer Dispute | Denied | $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 |
| John Edward Martin | 1284165 | 1 | 08/21/1997 | Customer Dispute | Award / Judgment | $55,145.80 | $52,145.80 | See FINRA Report |
| Steven Hartman | 1157759 | 2 | 08/19/1997 | Customer Dispute | Award / Judgment | $10,000.00 | $5,000.00 | See FINRA Report |
| Kevin James Cahill | 1589849 | 3 | 08/18/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bernard J Cohen | 49772 | 2 | 08/08/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Todd Southerland | 2229092 | 2 | 08/05/1997 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Matthew John Burger | 1086382 | 3 | 07/21/1997 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Matthew John Burger | 1086382 | 3 | 07/21/1997 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Allen Biermann | 1096533 | 1 | 07/16/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |