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 |
|---|---|---|---|---|---|---|---|---|
| Kurt H Klingenberg | 2384065 | 2 | 02/02/2024 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 02/02/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jennifer Rebecca Cisternas | 2821562 | 3 | 01/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roman Sazonov | 5315048 | 2 | 01/30/2024 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Christina Marie Abbey | 6262403 | 1 | 01/29/2024 | Customer Dispute | Denied | $187,000.00 | $0.00 | See FINRA Report |
| Ira Michael Bauman | 1079115 | 3 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Michael Madden | 6058173 | 1 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Harrison Lloyd Bauman | 5225710 | 2 | 01/19/2024 | Customer Dispute | Pending | $220,000.00 | $0.00 | See FINRA Report |
| Sara Yasmin Qazi | 4118177 | 5 | 01/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 12/27/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |