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 |
|---|---|---|---|---|---|---|---|---|
| Herbert William Nix | 2802547 | 1 | 03/15/2002 | Customer Dispute | Denied | $151,543.00 | $0.00 | See FINRA Report |
| Stephen William Niles | 2145834 | 2 | 03/15/2002 | Customer Dispute | Denied | $240,000.00 | $0.00 | See FINRA Report |
| David Gillaspy | 2885981 | 2 | 03/15/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shawn Ethan Ecklund | 2676122 | 5 | 03/07/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Tutcher | 2306833 | 6 | 03/04/2002 | Customer Dispute | Settled | $134,000.00 | $0.00 | See FINRA Report |
| Camillo Cicchini | 2149788 | 2 | 03/03/2002 | Customer Dispute | Settled | $257,862.00 | $0.00 | See FINRA Report |
| James Lawrence Mc Loughlin | 2448162 | 2 | 02/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Greg Anderson | 1302548 | 1 | 02/27/2002 | Customer Dispute | Closed-No Action | $30,760.00 | $0.00 | See FINRA Report |
| Garry E Fry | 862096 | 1 | 02/27/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony John Braico | 1191904 | 1 | 02/26/2002 | Customer Dispute | Denied | $5,660.00 | $0.00 | See FINRA Report |