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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lee Anderson | 2355813 | 4 | 08/04/2017 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Marc Christian Schmitz | 2474613 | 1 | 07/27/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Joseph John Esposito | 860964 | 3 | 06/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan J Liddell | 6065461 | 1 | 05/25/2017 | Customer Dispute | Denied | $129,000.00 | $0.00 | See FINRA Report |
| Eric Paul Frey | 2162956 | 1 | 05/22/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Perrone | 3085935 | 2 | 05/08/2017 | Customer Dispute | Settled | $42,179.00 | $0.00 | See FINRA Report |
| Shawn Allen Stults | 6023456 | 2 | 04/25/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brett Wilson Everhart | 1036050 | 2 | 04/25/2017 | Customer Dispute | Denied | $9,486.05 | $0.00 | See FINRA Report |
| Nancy Claire Finn | 2356745 | 1 | 04/18/2017 | Customer Dispute | Settled | $10,149.70 | $0.00 | See FINRA Report |
| James Lawrence Mc Loughlin | 2448162 | 2 | 04/13/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |