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 William Niles | 2145834 | 2 | 06/25/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Brett Cole Sanner | 2422858 | 1 | 06/23/2009 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| H Todd Roggen | 721463 | 7 | 06/23/2009 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Michael James Fisette | 4092427 | 3 | 06/23/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Walter Hilaman | 2657778 | 1 | 06/18/2009 | Customer Dispute | Settled | $162,229.00 | $0.00 | See FINRA Report |
| Matthew Wayne Schmidt | 4295036 | 1 | 06/15/2009 | Customer Dispute | Settled | $811,332.00 | $0.00 | See FINRA Report |
| Bradford Robert Mehl | 4389598 | 1 | 06/11/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Marvin Houchin | 2150331 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Auvern Ernst | 4098511 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Auvern Ernst | 4098511 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |