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 |
|---|---|---|---|---|---|---|---|---|
| Michael Steven Solesky | 2004365 | 2 | 06/13/2013 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Kelly Roxanne Marshall | 2755394 | 1 | 06/04/2013 | Customer Dispute | Settled | $20,304.90 | $0.00 | See FINRA Report |
| James Auvern Ernst | 4098511 | 3 | 05/25/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Bradford Eller | 2720136 | 1 | 05/13/2013 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Joshua T. Hatfield Charles | 2673246 | 1 | 04/29/2013 | Customer Dispute | Denied | $8,496.73 | $0.00 | See FINRA Report |
| Richard Andrew Ehli | 3137913 | 2 | 04/25/2013 | Customer Dispute | Denied | $9,600.00 | $0.00 | See FINRA Report |
| Hannibal Camillo Trapuzzano | 4813067 | 1 | 04/18/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Lynn Shipper | 2035653 | 2 | 04/15/2013 | Customer Dispute | Denied | $24,374.70 | $0.00 | See FINRA Report |
| Joshua Glen Palmer | 4793231 | 1 | 04/01/2013 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 03/18/2013 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |