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 |
|---|---|---|---|---|---|---|---|---|
| Grey Lewis Prowse | 1737860 | 2 | 07/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fred Berne McNeely | 330082 | 6 | 07/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis James Dunn | 4037837 | 1 | 07/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tobin Brewster Ayers | 4723375 | 1 | 07/21/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brent Christian Stein | 4702897 | 1 | 07/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Amalfitano | 2103107 | 3 | 07/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Brooks Fowler | 3234661 | 3 | 07/08/2008 | Customer Dispute | Closed-No Action | $8,836.00 | $0.00 | See FINRA Report |
| Alan Edgar Williams | 1638036 | 1 | 07/01/2008 | Customer Dispute | Settled | $29,700.00 | $0.00 | See FINRA Report |
| Thomas Irwin Perkins | 2254512 | 1 | 06/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Edward Barnes | 2895726 | 1 | 06/12/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |