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 |
|---|---|---|---|---|---|---|---|---|
| Rick Darnell | 7094666 | 1 | 01/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert William Parker | 1195044 | 2 | 12/27/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Phillip Cook | 53025 | 3 | 12/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Nelson Alsfeld | 855016 | 1 | 09/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Sarres Nelson | 1007980 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred Michael Asfoury | 2975152 | 1 | 07/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher John Whybrow | 466058 | 1 | 07/07/1988 | Customer Dispute | Settled | $41,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Powers | 1425367 | 4 | 04/13/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kendrick William White | 1288296 | 3 | 04/11/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lynn Trusty Shaw | 856092 | 8 | 12/16/1987 | Customer Dispute | Settled | $67,876.00 | $0.00 | See FINRA Report |