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 |
|---|---|---|---|---|---|---|---|---|
| Barry Michael Gross | 1000169 | 2 | 12/15/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Arthur Cox | 2283909 | 2 | 12/13/2011 | Customer Dispute | Settled | $2,683,090.00 | $0.00 | See FINRA Report |
| Jon Michael Trombetto | 859816 | 3 | 12/13/2011 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Wayne Scott Dictor | 1068558 | 6 | 12/06/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph John Petruso | 3267355 | 1 | 11/18/2011 | Customer Dispute | Denied | $9,495.00 | $0.00 | See FINRA Report |
| Walter Leslie Johnson | 1089107 | 3 | 11/02/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Johnson | 2592384 | 4 | 10/31/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Luis Martinez | 4416604 | 1 | 10/24/2011 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Brian C Vail | 2791588 | 2 | 10/18/2011 | Customer Dispute | Denied | $12,622.00 | $0.00 | See FINRA Report |
| Taylor M K Easley | 2764880 | 1 | 10/12/2011 | Customer Dispute | Settled | $1,545.00 | $0.00 | See FINRA Report |