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 |
|---|---|---|---|---|---|---|---|---|
| Scott Knowlton Leech | 2238262 | 1 | 05/06/2011 | Customer Dispute | Denied | $856,000.00 | $0.00 | See FINRA Report |
| Joseph Jordan Cunneff | 1101132 | 5 | 05/04/2011 | Customer Dispute | Closed-No Action | $160,000.00 | $0.00 | See FINRA Report |
| Bill John Callis | 2107488 | 3 | 04/29/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl Jefferson Davis | 3135524 | 4 | 04/29/2011 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| John J Doherty | 1410645 | 3 | 04/26/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Scott Hunter | 4255486 | 3 | 04/25/2011 | Customer Dispute | Settled | $825,000.00 | $0.00 | See FINRA Report |
| Hal Carey Sussman | 1394280 | 13 | 04/13/2011 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Hal Carey Sussman | 1394280 | 13 | 03/24/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Raissi | 2410236 | 1 | 03/17/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Lance Avery Dunn | 2798172 | 2 | 03/11/2011 | Customer Dispute | Settled | $54,263.00 | $0.00 | See FINRA Report |