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 |
|---|---|---|---|---|---|---|---|---|
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Douglas P Clark | 47468 | 7 | 06/28/1982 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 02/11/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ellis | 2463656 | 2 | 01/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ellis | 2463656 | 2 | 01/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tara A Santoro | 6322757 | 1 | 09/08/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Jay Handler | 1985218 | 9 | 07/27/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Jackson Roeder | 402493 | 1 | 05/01/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |