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 |
|---|---|---|---|---|---|---|---|---|
| Vijay Baxter | 6325095 | 1 | 09/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Joseph Kubicsko | 861670 | 3 | 09/20/2023 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Pierre Economacos | 1860814 | 2 | 09/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allyson S Herman | 7716102 | 3 | 09/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Charles Pingeton | 858197 | 5 | 08/22/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bjorn Andersen | 2102756 | 2 | 08/21/2023 | Customer Dispute | Denied | $5,568.00 | $0.00 | See FINRA Report |
| Charles Matthew Fagan | 5040887 | 1 | 08/15/2023 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 4 | 08/07/2023 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| Christopher Stephen Johnson | 2041695 | 2 | 08/03/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 4 | 07/27/2023 | Customer Dispute | Denied | $73,350.80 | $0.00 | See FINRA Report |