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 |
|---|---|---|---|---|---|---|---|---|
| Joel Patrick Adams | 4197193 | 1 | 11/06/2013 | Customer Dispute | Denied | $37,500.00 | $0.00 | See FINRA Report |
| Robert Narciso Chiavacci | 1155902 | 1 | 11/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sydney Elizabeth Niewierski | 4324675 | 1 | 11/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Waller Harman | 4481481 | 3 | 11/01/2013 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Cole Alan Cooper | 4463268 | 1 | 10/25/2013 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kenneth Paul Hughie | 2960970 | 3 | 09/23/2013 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Robert Eugene Reineke | 4730464 | 2 | 09/18/2013 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kelly Ray Hosek | 3268033 | 8 | 09/11/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Endry Surjanto | 4840914 | 3 | 09/09/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Zach J Bolden | 5705931 | 1 | 08/29/2013 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |