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 |
|---|---|---|---|---|---|---|---|---|
| Grant Arthur Gochin | 2918762 | 2 | 03/15/2012 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Kenneth Alan Whittaker | 4343388 | 1 | 03/05/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Solomon | 4712085 | 1 | 03/05/2012 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 02/27/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Carleen Marie Dunagan | 2075716 | 1 | 02/24/2012 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Frankie Gonzalez | 4283590 | 4 | 02/13/2012 | Customer Dispute | Denied | $12,783.00 | $0.00 | See FINRA Report |
| Theodore Michael Elliott | 1901850 | 3 | 01/31/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Jennings | 1644332 | 4 | 01/26/2012 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| David Peter Craig | 4492152 | 1 | 01/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Crawford Ober | 1356200 | 1 | 12/27/2011 | Customer Dispute | Settled | $230,267.00 | $0.00 | See FINRA Report |