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 |
|---|---|---|---|---|---|---|---|---|
| Sheree Denise Butler | 2306140 | 15 | 12/10/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Harless | 1882246 | 3 | 12/06/2019 | Customer Dispute | Denied | $82,722.70 | $0.00 | See FINRA Report |
| Stephen A Kimmel | 5397407 | 3 | 11/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Seraphim M Rine | 4305797 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Patricia Lynn Sans | 1155239 | 2 | 11/27/2019 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Ashley Elisabeth Gajda | 7480186 | 2 | 11/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Morrissey | 5814382 | 5 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew H Lee | 2257654 | 2 | 11/20/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aaron Ray Harris | 6123572 | 2 | 11/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Michelle Marconi | 6747209 | 1 | 11/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |