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 |
|---|---|---|---|---|---|---|---|---|
| Gordon Heyworth | 730737 | 2 | 01/03/1990 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Wiley Richard Gardner | 1177348 | 3 | 12/28/1989 | Customer Dispute | Award / Judgment | $40,000.00 | $15,000.00 | See FINRA Report |
| James Hamilton Weymouth | 1726009 | 2 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Brown | 1844458 | 1 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Noble | 1416138 | 2 | 12/18/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew John Burger | 1086382 | 3 | 10/27/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Joseph Kubicsko | 861670 | 3 | 10/25/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lynn Trusty Shaw | 856092 | 8 | 10/23/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell William Stein | 434765 | 3 | 09/26/1989 | Customer Dispute | Settled | $151,199.00 | $0.00 | See FINRA Report |
| Guy Edward Yandel | 1383066 | 1 | 09/06/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |