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 |
|---|---|---|---|---|---|---|---|---|
| John Eston McCullough | 1915239 | 2 | 06/28/1994 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| C Larry Stephens | 725161 | 3 | 05/03/1994 | Customer Dispute | Award / Judgment | $135,000.00 | $10,000.00 | See FINRA Report |
| Steven Alec Bushman | 1448826 | 4 | 02/17/1994 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Glenn Steven Baker | 1817669 | 4 | 01/26/1994 | Customer Dispute | Settled | $42,271.90 | $0.00 | See FINRA Report |
| Brian Leonard Finnerty | 208042 | 1 | 01/17/1994 | Customer Dispute | Award / Judgment | $100,000.00 | $19,682.80 | See FINRA Report |
| Charles James Smith | 2086208 | 1 | 01/14/1994 | Customer Dispute | Award / Judgment | $9,662.06 | $6,662.06 | See FINRA Report |
| Michael Vincent Sieben | 2680307 | 1 | 12/16/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Richard Gonzales | 833945 | 1 | 11/11/1993 | Customer Dispute | Settled | $163,819.00 | $0.00 | See FINRA Report |
| Thomas Joseph Powers | 1425367 | 4 | 10/29/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael P Iaquinta | 4232155 | 1 | 10/29/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |