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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Javier Santos Carro | 5452022 | 2 | 10/05/2019 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| James Hugh Whatley | 1807148 | 1 | 09/27/2019 | Customer Dispute | Denied | $35,330.20 | $0.00 | See FINRA Report |
| Monica Mary Baldwin | 1410593 | 2 | 09/06/2019 | Customer Dispute | Award / Judgment | $4,000,000.00 | $165,000.00 | See FINRA Report |
| Jason John Mikeska | 4962984 | 2 | 08/30/2019 | Customer Dispute | Settled | $21,223.80 | $0.00 | See FINRA Report |
| Christopher Lee Conard | 4590790 | 1 | 08/23/2019 | Customer Dispute | Settled | $8,480.00 | $0.00 | See FINRA Report |
| Lester Antonio Noisom | 2718648 | 3 | 08/12/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tyler Marshall Gilberg | 5749175 | 1 | 08/08/2019 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Aaron Phillip Tellez | 4270199 | 4 | 08/01/2019 | Customer Dispute | Denied | $123,670.00 | $0.00 | See FINRA Report |
| Ivan Rafael Pelegrina | 4886487 | 2 | 07/23/2019 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Theodore Michael Elliott | 1901850 | 3 | 07/16/2019 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |