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 Jeffrey Reed | 4832032 | 1 | 12/21/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael John Jacobs | 2874955 | 1 | 11/29/2007 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jeffrey Ray Alejandro | 4463653 | 1 | 11/27/2007 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Neil David Snider | 1405290 | 2 | 11/14/2007 | Customer Dispute | Denied | $61,900.00 | $0.00 | See FINRA Report |
| Bee Bee Au | 2729892 | 1 | 11/05/2007 | Customer Dispute | Denied | $20,493.70 | $0.00 | See FINRA Report |
| Luis Prieto | 2487683 | 4 | 11/01/2007 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Mitchel Devin Phiffer | 2383627 | 1 | 10/19/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Endry Surjanto | 4840914 | 3 | 10/11/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Eldon Johnson | 1412528 | 4 | 10/07/2007 | Customer Dispute | Denied | $64,500.00 | $0.00 | See FINRA Report |
| Richard Alan Pascoe | 1535528 | 4 | 09/17/2007 | Customer Dispute | Closed-No Action | $17,500.00 | $0.00 | See FINRA Report |