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 |
|---|---|---|---|---|---|---|---|---|
| Richard Lee Snipes | 2182199 | 5 | 11/01/2019 | Customer Dispute | Denied | $153,000.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 10/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason R Miller | 5127083 | 1 | 10/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katrina Emma Toler | 4722079 | 1 | 10/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 10/16/2019 | Customer Dispute | Denied | $9,794.89 | $0.00 | See FINRA Report |
| John William Cassin | 5880730 | 1 | 10/13/2019 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| James Frederick Alioto | 827086 | 1 | 10/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael George Graham | 6534485 | 6 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Troy Howard | 2264121 | 3 | 09/20/2019 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |