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 |
|---|---|---|---|---|---|---|---|---|
| Evan Jeremy Mayer | 4718513 | 3 | 09/05/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Hyon Yong Kim | 5248548 | 2 | 08/14/2014 | Customer Dispute | Denied | $19,214.30 | $0.00 | See FINRA Report |
| Carlos Alberto Gonzalez | 4817273 | 1 | 07/31/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Floyd Lawrence Schwartz | 1726463 | 1 | 07/22/2014 | Customer Dispute | Settled | $6,630.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Holloway | 2855761 | 3 | 07/14/2014 | Customer Dispute | Settled | $14,409.50 | $0.00 | See FINRA Report |
| Jason John Mikeska | 4962984 | 2 | 07/11/2014 | Customer Dispute | Denied | $9,607.50 | $0.00 | See FINRA Report |
| Wade Nolan Giddens | 1998148 | 3 | 06/06/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeanette Frances Lopiccolo | 5354215 | 1 | 06/02/2014 | Customer Dispute | Denied | $10,628.00 | $0.00 | See FINRA Report |
| Ginger Cheryl Montagna | 2663146 | 2 | 05/08/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Frank Leslie Haviland | 3098126 | 5 | 04/07/2014 | Customer Dispute | Denied | $12,574.40 | $0.00 | See FINRA Report |