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 |
|---|---|---|---|---|---|---|---|---|
| Zachary Carl Scott | 1914918 | 4 | 05/08/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Gregory Stuart McGuire | 1863707 | 2 | 05/07/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stephen J Mazzei | 1703357 | 2 | 05/06/2002 | Customer Dispute | Closed-No Action | $10,825.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Rimmer | 1220492 | 1 | 04/25/2002 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Terry Lynn Nibarger | 2090875 | 1 | 04/22/2002 | Customer Dispute | Denied | $10,867.20 | $0.00 | See FINRA Report |
| James Leonard Peterson | 1804629 | 3 | 04/15/2002 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Arnold Richard Riley | 849550 | 10 | 04/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert E Cappello | 2676886 | 1 | 04/04/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wallace Key Holleman | 2703357 | 1 | 03/27/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Walter Dale Crossley | 2803407 | 5 | 03/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |