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 Robert Shaw | 4136229 | 4 | 03/09/2015 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Michelle Lee Hylton | 2193573 | 2 | 02/23/2015 | Customer Dispute | Denied | $11,550.00 | $0.00 | See FINRA Report |
| Frank Walter Palulis | 2713250 | 1 | 02/20/2015 | Customer Dispute | Denied | $12,600.00 | $0.00 | See FINRA Report |
| Waltraud Grande | 1052004 | 1 | 02/13/2015 | Customer Dispute | Denied | $7,233.00 | $0.00 | See FINRA Report |
| Nicolo Sollena | 4527636 | 1 | 02/09/2015 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Wade Nolan Giddens | 1998148 | 3 | 12/16/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Udovich | 2479647 | 1 | 11/18/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Patrick Donnelly | 2056698 | 2 | 11/12/2014 | Customer Dispute | Settled | $141,000.00 | $0.00 | See FINRA Report |
| Jimmy Ray Blackburn | 2437287 | 1 | 09/17/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward M Lynch | 4690810 | 4 | 09/10/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |