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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Elias Bertilson | 6089695 | 1 | 04/09/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Tamara Suzanne Messier | 5212547 | 1 | 03/25/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chris Knapp | 5110650 | 1 | 03/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Holsan | 1148750 | 3 | 03/16/2018 | Customer Dispute | Settled | $1,096,000.00 | $0.00 | See FINRA Report |
| Christopher Michael O'Neill | 4567113 | 1 | 03/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Wayne Carson | 1052308 | 1 | 03/08/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Van Mark Pearcy | 1784318 | 2 | 02/08/2018 | Customer Dispute | Denied | $73,197.00 | $0.00 | See FINRA Report |
| Paul Gerard Curran | 5236647 | 1 | 01/29/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Joshua Lee Wilson | 4848165 | 1 | 01/02/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jon Robert Hansen | 5052191 | 1 | 12/29/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |