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 |
|---|---|---|---|---|---|---|---|---|
| Edward M Lynch | 4690810 | 4 | 05/05/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lynn Wilson McAmis | 843568 | 3 | 04/30/2009 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Paul Clement Wintermantel | 3262705 | 1 | 04/28/2009 | Customer Dispute | Denied | $12,412.30 | $0.00 | See FINRA Report |
| Dennis Michael Sullivan | 833854 | 1 | 04/22/2009 | Customer Dispute | Denied | $40,133.00 | $0.00 | See FINRA Report |
| Michael Lyle Burns | 2868118 | 1 | 04/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Waller Harman | 4481481 | 3 | 04/21/2009 | Customer Dispute | Denied | $27,157.80 | $0.00 | See FINRA Report |
| Bret Alan Poland | 2295428 | 1 | 04/20/2009 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| William Bolton Pettit | 3108525 | 2 | 04/19/2009 | Customer Dispute | Settled | $493,961.00 | $0.00 | See FINRA Report |
| Darin Lee Patterson | 3070419 | 3 | 04/17/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Marie Annette Martin | 2619696 | 1 | 04/15/2009 | Customer Dispute | Denied | $19,610.00 | $0.00 | See FINRA Report |