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 |
|---|---|---|---|---|---|---|---|---|
| John Lawrence Davis | 3028243 | 3 | 08/07/2020 | Customer Dispute | Denied | $8,436.00 | $0.00 | See FINRA Report |
| Vu Hoang Nguyen | 3046369 | 1 | 08/03/2020 | Customer Dispute | Denied | $74,416.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Carter | 2902588 | 1 | 07/31/2020 | Customer Dispute | Denied | $225,080.00 | $0.00 | See FINRA Report |
| Paul Kit Stetter | 4513517 | 2 | 07/27/2020 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Eric Michael Johnson | 2592384 | 4 | 07/09/2020 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Cox | 1999375 | 3 | 07/06/2020 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Kendrick R Patterson | 7165108 | 1 | 07/02/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Daniel Arndt | 5390741 | 1 | 06/15/2020 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Jeffrey William Fitz | 2211620 | 2 | 06/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Preston Allen | 2470574 | 1 | 05/19/2020 | Customer Dispute | Settled | $64,900.00 | $0.00 | See FINRA Report |