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 |
|---|---|---|---|---|---|---|---|---|
| Samantha Huang Lau | 4185373 | 1 | 07/18/2011 | Customer Dispute | Withdrawn | $17,444.20 | $0.00 | See FINRA Report |
| David Charles Kirk | 2978050 | 1 | 06/30/2011 | Customer Dispute | Denied | $38,442.00 | $0.00 | See FINRA Report |
| Thomas James Panos | 2660896 | 2 | 06/21/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Andrew Nieddu | 2766316 | 1 | 06/13/2011 | Customer Dispute | Denied | $64,637.00 | $0.00 | See FINRA Report |
| Loretta Petersen Strong | 2753395 | 2 | 06/13/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lisa Jeanelle Bordelon | 4413783 | 1 | 06/02/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Blake Dickerson | 1532682 | 1 | 05/26/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Edward Prevender | 2359820 | 2 | 05/23/2011 | Customer Dispute | Closed-No Action | $7,205.00 | $0.00 | See FINRA Report |
| John Michael Quello | 865455 | 2 | 05/10/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Cardella | 3181023 | 2 | 05/09/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |