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 |
|---|---|---|---|---|---|---|---|---|
| Evan Matthew Shear | 3042660 | 1 | 11/03/2009 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Walter Dale Crossley | 2803407 | 5 | 11/03/2009 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Nathaniel Scott Larson | 4968574 | 1 | 11/02/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| H Todd Roggen | 721463 | 7 | 10/29/2009 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Charles Albert Hall | 2565364 | 3 | 10/27/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Wilkinson Holland Camp | 2460705 | 1 | 10/27/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| H Todd Roggen | 721463 | 7 | 10/26/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Douglas Alan Brown | 1026433 | 1 | 10/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Floyd Yerger | 1414081 | 1 | 10/14/2009 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Nicole Noel Middendorf | 3251084 | 2 | 09/28/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |