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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Paul Hirsch | 1104240 | 4 | 09/01/1989 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Eric Fred Bachinsky | 1002854 | 5 | 08/21/1989 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Richard Hanlon Rowan | 3209904 | 1 | 08/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Paul Sarin | 1183965 | 2 | 07/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 11 | 04/28/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles William Corey | 1136114 | 1 | 03/30/1989 | Customer Dispute | Award / Judgment | $61,100.00 | $21,000.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 02/01/1989 | Customer Dispute | Settled | $124,903.00 | $0.00 | See FINRA Report |
| John Morrison Connally | 52239 | 6 | 02/01/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Oneill | 871604 | 1 | 01/24/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Russel Kean | 1269587 | 6 | 01/01/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |