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 Venute Christopher | 3032812 | 5 | 04/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Edwin Carbin | 3258997 | 1 | 04/14/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brett Rutledge McClaran | 3126776 | 1 | 04/09/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Lloyd Mize | 1563883 | 1 | 04/03/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Hardy Dawkins | 2398555 | 1 | 04/02/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mary Ellen Valliant | 727767 | 1 | 03/31/2009 | Customer Dispute | Settled | $38,620.70 | $0.00 | See FINRA Report |
| Carl Dennis Hanks | 2182401 | 2 | 03/30/2009 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Gerard Russell Rabadeau | 865541 | 4 | 03/26/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| John Constantine Zannakis | 2732890 | 3 | 03/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raleigh Eugene Horne | 1675127 | 1 | 03/23/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |