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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Scott Tyler | 2664573 | 1 | 09/20/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Graham Kolbe Rogney | 2687264 | 1 | 08/14/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 07/25/1990 | Customer Dispute | Settled | $56,836.00 | $0.00 | See FINRA Report |
| Abu B M Farukh | 705171 | 4 | 07/06/1990 | Customer Dispute | Settled | $117,000.00 | $0.00 | See FINRA Report |
| Karen Lynne Lucian | 1147637 | 1 | 04/27/1990 | Customer Dispute | Award / Judgment | $22,309.00 | $3,680.00 | See FINRA Report |
| Joseph Gerald Offerman | 1748188 | 2 | 04/25/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lawrence Wardein | 861926 | 1 | 04/13/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 04/01/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Vance Richard Burks | 1078871 | 2 | 03/01/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Octave Joseph Francis | 1590513 | 3 | 01/12/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |