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 |
|---|---|---|---|---|---|---|---|---|
| James J Dowd | 1155775 | 6 | 06/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Corona | 2366356 | 8 | 03/06/1997 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Douglas J Marken | 2877646 | 2 | 02/03/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Johnson | 1713098 | 2 | 01/20/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel V Glatthorn | 4228314 | 1 | 01/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew George Sukhin | 2102283 | 9 | 12/30/1996 | Customer Dispute | Award / Judgment | $18,123.10 | $5,000.00 | See FINRA Report |
| Walter Yost Hooper | 1540706 | 13 | 12/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Vernon Hart | 1122114 | 3 | 12/02/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alex Kongkraphun | 4246520 | 2 | 11/27/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Thorton Edwards | 4967089 | 1 | 11/27/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |