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 |
|---|---|---|---|---|---|---|---|---|
| Barry Paul Sarin | 1183965 | 2 | 11/23/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Drozjock | 2146878 | 2 | 07/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terrence Hamilton O'Toole | 5237558 | 1 | 06/20/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 05/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Marks Dattel | 61216 | 2 | 04/23/1987 | Customer Dispute | Settled | $690,000.00 | $0.00 | See FINRA Report |
| Haskellene Diane Edwards-Waldron | 2744097 | 1 | 04/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis Thompson Schmid | 1259468 | 2 | 01/23/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 12/23/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald James Simpson | 715971 | 1 | 12/01/1986 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Walter Eubon Jones | 1561431 | 2 | 10/29/1986 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |