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 |
|---|---|---|---|---|---|---|---|---|
| Jason Matthew Koptish | 4996543 | 1 | 05/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ashley Ann Banks | 2250124 | 2 | 05/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Edward Chaffin | 1539487 | 2 | 05/13/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lynda Collier Parker | 1938608 | 3 | 05/13/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Leonard Peterson | 1804629 | 3 | 05/12/2008 | Customer Dispute | Denied | $14,426.30 | $0.00 | See FINRA Report |
| H Todd Roggen | 721463 | 7 | 05/07/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Anthony R Cirocco | 5042371 | 4 | 05/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Kenneth Fischer | 2557611 | 2 | 05/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis John Girard | 2837816 | 4 | 05/01/2008 | Customer Dispute | Denied | $10,760.00 | $0.00 | See FINRA Report |
| Neil Alex Christie | 4857977 | 1 | 04/29/2008 | Customer Dispute | Denied | $5,350.00 | $0.00 | See FINRA Report |