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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Lawrence Pellegrini | 4433513 | 2 | 04/06/2006 | Customer Dispute | Denied | $9,700.00 | $1,087.40 | See FINRA Report |
| Richard John Rosnack | 1317608 | 3 | 03/16/2006 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Zachary Carl Scott | 1914918 | 4 | 03/13/2006 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Richard Alan Pascoe | 1535528 | 4 | 02/21/2006 | Customer Dispute | Settled | $179,406.00 | $0.00 | See FINRA Report |
| Ann Blythe Miller | 2561854 | 4 | 02/16/2006 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Dale Lee Lehenbauer | 2269916 | 3 | 02/13/2006 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Traci Lynn Born | 2714626 | 1 | 02/13/2006 | Customer Dispute | Settled | $20,800.00 | $0.00 | See FINRA Report |
| Brent A Gough | 3026801 | 2 | 02/02/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joe Rex Woods | 1813428 | 2 | 02/02/2006 | Customer Dispute | Award / Judgment | $200,000.00 | $235,000.00 | See FINRA Report |
| James Christopher Closson | 2251313 | 1 | 01/30/2006 | Customer Dispute | Settled | $1,267,890.00 | $0.00 | See FINRA Report |