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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mark Douglas Sullivan | 2398532 | 1 | 04/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katrina Angeletta Esau | 4959263 | 2 | 04/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Russell Saylor | 3155003 | 1 | 04/13/2020 | Customer Dispute | Denied | $10,684.00 | $0.00 | See FINRA Report |
| Keith Morrissey | 5814382 | 5 | 04/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin Chris Gruner | 2978088 | 2 | 04/13/2020 | Customer Dispute | Denied | $308,000.00 | $0.00 | See FINRA Report |
| Stephen A Kimmel | 5397407 | 3 | 03/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Magda Carolina Castro | 6289000 | 2 | 03/26/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert J Radli | 1076710 | 2 | 03/24/2020 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Daniel John Kraus | 719032 | 2 | 03/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 03/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |