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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Scott Minton | 2391069 | 1 | 12/28/2006 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Derek Robert Marquis | 2072648 | 3 | 12/20/2006 | Customer Dispute | Closed-No Action | $89,428.50 | $0.00 | See FINRA Report |
| Joseph Donald Davis | 1999363 | 5 | 11/28/2006 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Shawn Ethan Ecklund | 2676122 | 5 | 11/03/2006 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Bardine | 1661105 | 1 | 09/29/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dale Lee Lehenbauer | 2269916 | 3 | 09/25/2006 | Customer Dispute | Denied | $43,000.00 | $0.00 | See FINRA Report |
| Johnny Mark Johnson | 1096868 | 3 | 09/20/2006 | Customer Dispute | Settled | $8,772.20 | $0.00 | See FINRA Report |
| Stephen Mehdi Hakim | 1418774 | 2 | 09/19/2006 | Customer Dispute | Denied | $225,000.00 | $0.00 | See FINRA Report |
| Scott David Huffman | 1461169 | 1 | 08/11/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dustin Soukkay Keomysy | 2229496 | 1 | 07/18/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |