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 |
|---|---|---|---|---|---|---|---|---|
| Sean Joseph Cavanaugh | 2293517 | 4 | 09/05/2018 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Eric Matthew Tillotson | 4445703 | 2 | 08/27/2018 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Roberto Javier Santos Carro | 5452022 | 2 | 06/07/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael John Glennon | 1782991 | 1 | 06/06/2018 | Customer Dispute | Settled | $82,195.00 | $0.00 | See FINRA Report |
| Warren Judson Scroggie | 3204218 | 4 | 05/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey William Fitz | 2211620 | 2 | 05/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Debora Jeanne Duis | 2390411 | 1 | 05/08/2018 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Stephen Joseph Hollingsworth | 1328648 | 4 | 05/08/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Eldon Johnson | 1412528 | 4 | 04/18/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| George Anthony Puliafico | 1158596 | 1 | 04/17/2018 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |