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 |
|---|---|---|---|---|---|---|---|---|
| Steven Wallace Schmitt | 4486457 | 1 | 12/18/2023 | Customer Dispute | Pending | $385,161.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 12/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lori Lynn Fugate | 2105967 | 3 | 12/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sara Yasmin Qazi | 4118177 | 5 | 11/20/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Damon Hallick | 4652410 | 1 | 11/02/2023 | Customer Dispute | Pending | $6,500,000.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 10/31/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mitchell Lamchick | 6209799 | 1 | 10/20/2023 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Juan Carlos Bonelli | 6616580 | 1 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Eamon Kelley | 6656467 | 1 | 10/07/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lea McIntyre | 5853811 | 1 | 10/01/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |