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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kimberly Hurley Ciccarello | 7170469 | 1 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Leigh Silipo | 6972544 | 1 | 02/11/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Hinesley | 4376046 | 2 | 02/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Kimberly E Frankel | 1202385 | 6 | 02/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Kristofer Patterson | 4289857 | 1 | 01/31/2020 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 01/31/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Theresa L McMasters | 4015437 | 16 | 01/30/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dax Aaron Seale | 5631159 | 2 | 01/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Everett Ferguson | 7191433 | 1 | 01/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher S Weng | 2413401 | 2 | 01/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |