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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Peter Chi-Tseng Chen | 2569849 | 4 | 01/03/2023 | Customer Dispute | Denied | $50,130.00 | $0.00 | See FINRA Report |
| Scott David Hocker | 5187368 | 1 | 12/25/2022 | Customer Dispute | Denied | $25,026.20 | $0.00 | See FINRA Report |
| Nicole Faith Narkus | 6187857 | 2 | 12/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Hargnett Thomas | 715862 | 2 | 12/19/2022 | Customer Dispute | Denied | $9,282.13 | $0.00 | See FINRA Report |
| David Edward Ayala | 5575451 | 1 | 12/05/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Arlene Joan Burson | 4343309 | 1 | 12/01/2022 | Customer Dispute | Closed-No Action | $11,530.00 | $0.00 | See FINRA Report |
| Robert John Cutrupi | 729537 | 1 | 11/28/2022 | Customer Dispute | Denied | $6,417.09 | $0.00 | See FINRA Report |
| Jon Travis Rice | 4961184 | 1 | 11/13/2022 | Customer Dispute | Denied | $139,000.00 | $0.00 | See FINRA Report |
| Marie Enett Baker | 6218379 | 1 | 11/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Eiser Dubel | 4138217 | 1 | 10/27/2022 | Customer Dispute | Denied | $15,579.00 | $0.00 | See FINRA Report |