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 |
|---|---|---|---|---|---|---|---|---|
| Chris Vincent Harkins | 1788452 | 2 | 08/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Randall Hutchisson | 1384682 | 5 | 08/11/2022 | Customer Dispute | Denied | $23,700.80 | $0.00 | See FINRA Report |
| Douglas James Adler | 2257195 | 1 | 08/11/2022 | Customer Dispute | Denied | $23,700.80 | $0.00 | See FINRA Report |
| Richard Matthew Brendza | 1703194 | 3 | 08/09/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Powers | 1425367 | 4 | 08/04/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Stringer | 4292775 | 1 | 08/03/2022 | Customer Dispute | Pending | $59,093.00 | $0.00 | See FINRA Report |
| William Leo Creedon | 1139558 | 12 | 07/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danyell Jones Munassi | 6721766 | 1 | 07/16/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle C Wootten | 4402198 | 3 | 06/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paolo M Thompson | 2286601 | 1 | 06/01/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |