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 |
|---|---|---|---|---|---|---|---|---|
| Laurie Ann Kampman | 2698601 | 1 | 07/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maryetta M Hotaling | 7658169 | 4 | 07/20/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Khalil M Williams | 7315468 | 1 | 07/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darius Tremaine Dion Sabbides | 6393923 | 1 | 06/30/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 06/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Ann Detanna | 1979568 | 2 | 06/12/2023 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |
| Aaron Jason Werner | 4843116 | 1 | 06/12/2023 | Customer Dispute | Denied | $450,000.00 | $0.00 | See FINRA Report |
| Andrew M Waldbaum | 3086061 | 1 | 06/12/2023 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |
| Glenn David Lotenberg | 4376563 | 1 | 05/16/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Matthew Brendza | 1703194 | 4 | 05/11/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |