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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Alan Bateman | 1432888 | 1 | 02/18/2005 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Elizabeth Jordan Staley | 1768965 | 2 | 02/10/2005 | Customer Dispute | Settled | $116,000.00 | $0.00 | See FINRA Report |
| Jerry David Bass | 2036292 | 1 | 02/04/2005 | Customer Dispute | Denied | $6,521.26 | $0.00 | See FINRA Report |
| Michelle Ann Spaziani | 4335618 | 1 | 02/04/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Francis Joseph Shepard | 2044341 | 2 | 02/03/2005 | Customer Dispute | Denied | $9,775.24 | $0.00 | See FINRA Report |
| Steven L Savage | 2665578 | 2 | 02/02/2005 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dennis Patton Williams | 2113076 | 1 | 02/01/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Miller Babiy | 1640438 | 1 | 01/26/2005 | Customer Dispute | Settled | $92,000.00 | $0.00 | See FINRA Report |
| David Michael Rauch | 2551254 | 2 | 01/24/2005 | Customer Dispute | Settled | $126,904.00 | $0.00 | See FINRA Report |
| Andrew Thompson | 3012356 | 1 | 01/24/2005 | Customer Dispute | Denied | $2,003,000.00 | $0.00 | See FINRA Report |