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 |
|---|---|---|---|---|---|---|---|---|
| John Constantine Zannakis | 2732890 | 3 | 12/02/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| J Daniel Chick | 3159485 | 2 | 11/24/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Karstad Henrickson | 4279460 | 2 | 11/21/2008 | Customer Dispute | Closed-No Action | $83,546.80 | $0.00 | See FINRA Report |
| Robert William Volpe | 4126954 | 4 | 11/21/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| H Todd Roggen | 721463 | 7 | 11/18/2008 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Philip Brent Spoljarick | 3089601 | 1 | 11/17/2008 | Customer Dispute | Settled | $10,171.40 | $0.00 | See FINRA Report |
| Randolph Bruce Feusner | 1344836 | 1 | 11/13/2008 | Customer Dispute | Settled | $19,500.00 | $0.00 | See FINRA Report |
| Sydney Todd Tindall | 1579182 | 2 | 11/13/2008 | Customer Dispute | Closed-No Action | $18,491.00 | $0.00 | See FINRA Report |
| Wade Brendan Lokka | 4233158 | 1 | 11/12/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald David Peterson | 4277059 | 1 | 11/04/2008 | Customer Dispute | Denied | $5,888.07 | $0.00 | See FINRA Report |