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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Ross | 1684485 | 1 | 05/08/2023 | Customer Dispute | Pending | $15,000.00 | $0.00 | See FINRA Report |
| Kyle C Wootten | 4402198 | 4 | 04/29/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| Dean Morgan Paugh | 1068991 | 2 | 04/18/2023 | Customer Dispute | Settled | $54,770.50 | $0.00 | See FINRA Report |
| Kelly Michelle Peterson | 3049840 | 1 | 04/14/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amber Lynne Freeze | 6057649 | 1 | 03/28/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samantha Nicole Butler | 7045908 | 3 | 03/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Brendza | 1703163 | 5 | 03/02/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robynne Adame Henry | 5467340 | 1 | 03/01/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Michael Brendza | 1703163 | 5 | 02/10/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |