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 |
|---|---|---|---|---|---|---|---|---|
| Jack Diener Simpson | 732991 | 1 | 04/24/2007 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Mark William Neale | 4706764 | 1 | 04/12/2007 | Customer Dispute | Denied | $6,221.00 | $0.00 | See FINRA Report |
| Mitchell Lynn Walker | 2302471 | 1 | 04/05/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karen Lynn Coyne | 4264524 | 1 | 03/23/2007 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Robert Lee Anderson | 2355813 | 4 | 03/21/2007 | Customer Dispute | Settled | $1,762,390.00 | $0.00 | See FINRA Report |
| Laurie Louise Lake | 2554081 | 2 | 02/23/2007 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Donald Davis | 1999363 | 5 | 02/15/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Donald Davis | 1999363 | 5 | 02/06/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Brian Watts | 2429443 | 2 | 02/06/2007 | Customer Dispute | Denied | $8,900.00 | $0.00 | See FINRA Report |
| Douglas Allan Mac Cormack | 4842053 | 1 | 01/16/2007 | Customer Dispute | Settled | $7,700.00 | $0.00 | See FINRA Report |