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 |
|---|---|---|---|---|---|---|---|---|
| Alan Miles Griffin | 853835 | 3 | 01/10/1992 | Customer Dispute | Settled | $32,288.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 12/05/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 11/14/1991 | Customer Dispute | Award / Judgment | $214,000.00 | $55,000.00 | See FINRA Report |
| C Larry Stephens | 725161 | 3 | 11/11/1991 | Customer Dispute | Award / Judgment | $71,389.00 | $90,853.00 | See FINRA Report |
| Ronald David Goldman | 224374 | 1 | 10/31/1991 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Bernard J Cohen | 49772 | 2 | 10/21/1991 | Customer Dispute | Award / Judgment | $0.00 | $2,500.00 | See FINRA Report |
| Sean Anthony Garcia | 4219822 | 1 | 09/19/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather Marie Bolster | 4071930 | 1 | 09/19/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Elliot Feit | 205766 | 2 | 07/29/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/14/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |