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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Ray Logan | 1306390 | 1 | 09/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Mark Roskos | 4509067 | 1 | 09/23/2009 | Customer Dispute | Denied | $58,467.00 | $0.00 | See FINRA Report |
| Peter Chi-Tseng Chen | 2569849 | 4 | 09/17/2009 | Customer Dispute | Settled | $21,700.00 | $0.00 | See FINRA Report |
| Brian William Matthews | 3259731 | 1 | 09/14/2009 | Customer Dispute | Denied | $6,290.91 | $0.00 | See FINRA Report |
| James Albert Powell | 1146466 | 3 | 09/14/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John James Findling | 813947 | 2 | 09/10/2009 | Customer Dispute | Denied | $12,429.00 | $0.00 | See FINRA Report |
| Jay Dee Ferguson | 2941842 | 1 | 08/24/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Claiborne Barksdale Morton | 2172385 | 1 | 08/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Yvan Huu Cao | 4638428 | 1 | 08/19/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Maurice Applegate | 3217565 | 1 | 08/19/2009 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |