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 |
|---|---|---|---|---|---|---|---|---|
| Richard Alfred Devine | 1020877 | 1 | 01/08/1993 | Customer Dispute | Settled | $420,498.00 | $0.00 | See FINRA Report |
| David Barrett Berman | 1274303 | 2 | 12/29/1992 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher John Leavy | 1056067 | 3 | 12/04/1992 | Customer Dispute | Settled | $533,963.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 12/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 12/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Sandquist | 6745441 | 1 | 11/24/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles M Bonatakis | 1006233 | 3 | 09/30/1992 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| James Odell Nichols | 1012878 | 1 | 09/29/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Raymond Sanchez | 1126551 | 2 | 09/04/1992 | Customer Dispute | Settled | $132,000.00 | $0.00 | See FINRA Report |
| Thomas Paul Hirsch | 1104240 | 4 | 08/17/1992 | Customer Dispute | Settled | $64,000.00 | $0.00 | See FINRA Report |