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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Paul Wray | 4923302 | 1 | 08/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Merissa Lynn Brinkerhoff | 4760317 | 1 | 08/11/2009 | Customer Dispute | Settled | $22,500.00 | $0.00 | See FINRA Report |
| Richard Paul Holsan | 1148750 | 3 | 08/10/2009 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Gary Dean Poling | 2567208 | 1 | 08/05/2009 | Customer Dispute | Denied | $177,970.00 | $0.00 | See FINRA Report |
| David Anthony Rao | 2104572 | 4 | 08/03/2009 | Customer Dispute | Closed-No Action | $331,446.00 | $0.00 | See FINRA Report |
| Andrew Francis Tenaglia | 2386353 | 1 | 08/03/2009 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Kent Jackson Rhoades | 2904123 | 2 | 07/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin James Hayes | 2961599 | 2 | 07/20/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Gary Lee Davis | 1133027 | 3 | 07/13/2009 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Thomas B Current | 2847791 | 1 | 07/13/2009 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |