Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Monica Mary Baldwin | 1410593 | 2 | 09/06/2019 | Customer Dispute | Award / Judgment | $4,000,000.00 | $165,000.00 | See FINRA Report |
| Ronald Lee Wilson | 2289058 | 1 | 07/15/2016 | Customer Dispute | Award / Judgment | $91,263.60 | $20,743.10 | See FINRA Report |
| Jerry Edward Lawless | 2065896 | 2 | 11/25/2013 | Customer Dispute | Award / Judgment | $21,080.00 | $4,550.00 | See FINRA Report |
| Noel Bradford Breuer | 833833 | 2 | 08/01/2013 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Stephen Joseph Hollingsworth | 1328648 | 4 | 07/17/2013 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Richard Alan Jackson | 1176741 | 1 | 02/14/2011 | Customer Dispute | Award / Judgment | $25,000.00 | $24,879.80 | See FINRA Report |
| John Francis Combs | 4590195 | 1 | 03/26/2010 | Customer Dispute | Award / Judgment | $110,000.00 | $13,000.00 | See FINRA Report |
| Mark Stephen Hofstetter | 1970941 | 1 | 03/03/2010 | Customer Dispute | Award / Judgment | $425,000.00 | $0.00 | See FINRA Report |
| Duane Arthur Sturm | 2275213 | 2 | 04/01/2009 | Customer Dispute | Award / Judgment | $750,000.00 | $600,000.00 | See FINRA Report |
| John Mark Turner | 2240297 | 2 | 10/16/2008 | Customer Dispute | Award / Judgment | $400,000.00 | $101,500.00 | See FINRA Report |