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 |
|---|---|---|---|---|---|---|---|---|
| Erin Victoria Swafford | 5930413 | 2 | 07/16/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Foster | 4299466 | 1 | 07/07/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 07/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Henry Hauser | 717465 | 2 | 06/26/2019 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Erwin Anthony Beltran | 3006096 | 18 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Anderson Alford | 1711320 | 3 | 06/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yaakov Ari Ringler | 4419944 | 2 | 06/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Renae Louise Cobern | 4307995 | 10 | 06/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| April Cherie Chapman | 2901849 | 8 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John E Kennedy | 7654415 | 1 | 05/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |