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 |
---|---|---|---|---|---|---|---|---|
Anthony R Cirocco | 5042371 | 4 | 04/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Michael John Forster | 4958049 | 5 | 04/08/2008 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
Kelly Thumel Frohsin | 3075090 | 1 | 04/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
John Arthur Malone | 3130851 | 2 | 04/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
David Edgar Malone | 4720743 | 2 | 04/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Christopher R Mariner | 4517297 | 1 | 04/04/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
Paul K Kapur | 4285978 | 6 | 04/02/2008 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
Anthony R Cirocco | 5042371 | 4 | 03/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Amy Elizabeth Hayes | 2305984 | 2 | 03/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
James Edward Chaffin | 1539487 | 2 | 03/25/2008 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |