Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James (USA) Ltd.. 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Andrew Steele | 5114218 | 2 | 10/22/2012 | Customer Dispute | Settled | $76,208.00 | $0.00 | See FINRA Report |
| Erik Moisan | 5833929 | 1 | 06/22/2010 | Customer Dispute | Settled | $13,786,800.00 | $0.00 | See FINRA Report |
| Joseph Perry Dawson | 4642564 | 1 | 04/09/2009 | Customer Dispute | Settled | $15,864.20 | $0.00 | See FINRA Report |
| Robert Werner Schiesser | 5072768 | 4 | 10/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Andrew Steele | 5114218 | 2 | 02/03/2006 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |