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FINRA Broker Disclosures for Raymond James Financial Services, Inc.

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.

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Displaying 761-770 out of 1,270 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Joseph Lawrence Pellegrini4433513204/06/2006Customer DisputeDenied$9,700.00$1,087.40See FINRA Report
Richard John Rosnack1317608303/16/2006Customer DisputeDenied$40,000.00$0.00See FINRA Report
Zachary Carl Scott1914918403/13/2006Customer DisputeSettled$43,000.00$0.00See FINRA Report
Richard Alan Pascoe1535528402/21/2006Customer DisputeSettled$179,406.00$0.00See FINRA Report
Ann Blythe Miller2561854402/16/2006Customer DisputeClosed-No Action$5,000.00$0.00See FINRA Report
Dale Lee Lehenbauer2269916302/13/2006Customer DisputeSettled$150,000.00$0.00See FINRA Report
Traci Lynn Born2714626102/13/2006Customer DisputeSettled$20,800.00$0.00See FINRA Report
Brent A Gough3026801202/02/2006Customer DisputeDenied$5,000.00$0.00See FINRA Report
Joe Rex Woods1813428202/02/2006Customer DisputeAward / Judgment$200,000.00$235,000.00See FINRA Report
James Christopher Closson2251313101/30/2006Customer DisputeSettled$1,267,890.00$0.00See FINRA Report

1,270 Results

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