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 | 08/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Erneston Hendershott | 818681 | 5 | 08/05/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Lori Sullivan Antolovic | 1480968 | 1 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Anne Harman | 6129322 | 1 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Almitra G Hensley | 2989574 | 4 | 07/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerrie Leigh Milligan | 4276095 | 3 | 07/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Charles Pingeton | 858197 | 5 | 07/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Charles Pingeton | 858197 | 5 | 07/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| April Cherie Chapman | 2901849 | 8 | 07/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |