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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Francis Brown | 1273712 | 2 | 08/06/2002 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Ian Garry Clarke-Pounder | 1062788 | 2 | 08/05/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Henry Shepherd | 2099250 | 3 | 08/02/2002 | Customer Dispute | Denied | $28,845.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Holloway | 2855761 | 3 | 08/01/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Maior Goldfarb | 1718720 | 3 | 07/30/2002 | Customer Dispute | Denied | $86,000.00 | $0.00 | See FINRA Report |
| Kent Jackson Rhoades | 2904123 | 2 | 07/29/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Richard Chaffee | 706970 | 2 | 07/29/2002 | Customer Dispute | Settled | $44,661.50 | $0.00 | See FINRA Report |
| Neil M Vanleeuwen | 1263271 | 1 | 07/29/2002 | Customer Dispute | Closed-No Action | $26,312.60 | $0.00 | See FINRA Report |
| Marc Prentice Tomberg | 2453850 | 1 | 07/17/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Adalberto Ricardo Maulini | 1990405 | 5 | 07/17/2002 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |