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 |
|---|---|---|---|---|---|---|---|---|
| Paul Steven Cohen | 707161 | 2 | 03/15/1995 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Charles Ferguson | 1451570 | 4 | 02/07/1995 | Customer Dispute | Award / Judgment | $3,079.81 | $3,079.81 | See FINRA Report |
| Kevin Lane Cooper | 2258573 | 1 | 01/17/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Thomas Theis | 1847193 | 2 | 12/28/1994 | Customer Dispute | Settled | $48,613.30 | $0.00 | See FINRA Report |
| Robert H Eckert | 1440685 | 2 | 12/15/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eugene Andrew Cunningham | 2103577 | 1 | 12/02/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Meyer Bowman | 2210213 | 2 | 11/30/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 11/22/1994 | Customer Dispute | Settled | $148,709.00 | $0.00 | See FINRA Report |
| Todd Lowell Kissel | 1487551 | 3 | 11/17/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Soben | 815263 | 1 | 11/07/1994 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |