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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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Peter Chi-Tseng Chen | 2569849 | 4 | 01/24/2006 | Customer Dispute | Settled | $3,940.03 | $0.00 | See FINRA Report |
| Ronald Brooks Fowler | 3234661 | 3 | 01/13/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lisa McIntire Shaw | 2228330 | 2 | 01/09/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Luis Prieto | 2487683 | 4 | 01/03/2006 | Customer Dispute | Denied | $29,110.90 | $0.00 | See FINRA Report |
| Adalberto Ricardo Maulini | 1990405 | 5 | 12/20/2005 | Customer Dispute | Withdrawn | $8,914.00 | $0.00 | See FINRA Report |
| Mark Mattson Pond | 4628804 | 1 | 12/12/2005 | Customer Dispute | Denied | $130,500.00 | $0.00 | See FINRA Report |
| David Allen Faber | 2091420 | 1 | 11/19/2005 | Customer Dispute | Denied | $169,523.00 | $0.00 | See FINRA Report |
| Gregory Stuart McGuire | 1863707 | 2 | 10/25/2005 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Jeffrey Maior Goldfarb | 1718720 | 3 | 10/20/2005 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Arnold Richard Riley | 849550 | 10 | 10/18/2005 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |