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 |
|---|---|---|---|---|---|---|---|---|
| Gary David Sievewright | 1814846 | 1 | 07/27/1993 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 07/22/1993 | Customer Dispute | Award / Judgment | $9,961.00 | $8,719.00 | See FINRA Report |
| Benjamin Edmund Price | 1978186 | 1 | 06/23/1993 | Customer Dispute | Settled | $13,612.50 | $0.00 | See FINRA Report |
| Chris Vincent Harkins | 1788452 | 2 | 05/18/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas P Clark | 47468 | 7 | 05/04/1993 | Customer Dispute | Settled | $67,000.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 04/14/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Russel Kean | 1269587 | 6 | 04/06/1993 | Customer Dispute | Settled | $43,125.00 | $0.00 | See FINRA Report |
| Erik Simonsen | 1622953 | 1 | 03/31/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Lee Haverstock | 2496012 | 3 | 03/05/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alexander Martinez | 1076944 | 1 | 01/19/1993 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |