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 |
|---|---|---|---|---|---|---|---|---|
| Glenn Steven Baker | 1817669 | 4 | 04/14/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Yoch | 1869343 | 1 | 02/18/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin Erwin Bry | 1357557 | 1 | 10/06/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Peter Demers | 1622194 | 1 | 08/30/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Banks Donnelly | 1188229 | 1 | 01/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurie Jo Sowada | 2039828 | 1 | 12/16/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julie Ellen Opheim | 1109350 | 1 | 04/18/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Brooks | 2210771 | 3 | 09/17/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Richard Kingsley | 1157001 | 2 | 11/30/-0001 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| David Peter Halsch | 728633 | 1 | 11/30/-0001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |