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 |
|---|---|---|---|---|---|---|---|---|
| Alexander Stuart Taub | 3163646 | 1 | 11/30/2009 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| James Layton Switzer | 2083668 | 1 | 11/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa McIntire Shaw | 2228330 | 2 | 11/23/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Stephan Trimmer | 1396130 | 7 | 11/23/2009 | Customer Dispute | Settled | $171,335.00 | $0.00 | See FINRA Report |
| Timothy Joe Holsworth | 1133900 | 2 | 11/23/2009 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lawrence John Forlenza | 2648966 | 1 | 11/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Darin Lee Patterson | 3070419 | 3 | 11/13/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert Samuel Chambers | 2426173 | 7 | 11/12/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Iris Ivette Destephen-Fujita | 4000108 | 2 | 11/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Enrique Caceres | 2347486 | 2 | 11/09/2009 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |