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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Chad Haynes | 2804180 | 1 | 09/12/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David Randolph Davis | 1442736 | 4 | 09/04/2007 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Arnold Richard Riley | 849550 | 10 | 09/04/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fred Berne McNeely | 330082 | 6 | 08/14/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Wayne Cook | 4618531 | 2 | 08/13/2007 | Customer Dispute | Denied | $7,752.31 | $0.00 | See FINRA Report |
| James Spiro Karageorge | 2278979 | 1 | 08/13/2007 | Customer Dispute | Withdrawn | $8,309.88 | $0.00 | See FINRA Report |
| Jayme Frances Lemaire | 4336052 | 5 | 08/08/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mabry Stone Phillips | 1968939 | 2 | 08/01/2007 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Iris Ivette Destephen-Fujita | 4000108 | 2 | 07/23/2007 | Customer Dispute | Denied | $16,804.70 | $0.00 | See FINRA Report |
| David Michael Rauch | 2551254 | 2 | 07/19/2007 | Customer Dispute | Closed-No Action | $30,201.00 | $0.00 | See FINRA Report |