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 |
|---|---|---|---|---|---|---|---|---|
| Collin Larry Rigler | 1932563 | 2 | 11/28/2022 | Customer Dispute | Denied | $44,720.70 | $0.00 | See FINRA Report |
| Kyle C Wootten | 4402198 | 4 | 11/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheree Denise Butler | 2306140 | 15 | 11/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hope Marie Johnson | 5972312 | 1 | 11/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erwin Anthony Beltran | 3006096 | 18 | 11/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Magda Carolina Castro | 6289000 | 2 | 11/04/2022 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| Charles Andrew Fischer | 2164405 | 1 | 10/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kyle C Wootten | 4402198 | 4 | 09/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 4 | 09/19/2022 | Customer Dispute | Denied | $27,287.10 | $0.00 | See FINRA Report |
| James Charles Pingeton | 858197 | 5 | 09/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |