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 |
|---|---|---|---|---|---|---|---|---|
| Victor Thomas Connor | 843521 | 4 | 11/17/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Donald George Guiswite | 2895578 | 1 | 11/12/2004 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| John Mark Turner | 2240297 | 2 | 11/01/2004 | Customer Dispute | Denied | $39,080.10 | $0.00 | See FINRA Report |
| Rosa Grace Berry | 2398493 | 2 | 10/22/2004 | Customer Dispute | Settled | $9,564.00 | $0.00 | See FINRA Report |
| Warren Judson Scroggie | 3204218 | 4 | 10/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dean R Zack | 1694320 | 1 | 10/18/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Fortner Jones | 861099 | 1 | 10/04/2004 | Customer Dispute | Settled | $146,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Noble | 1504751 | 1 | 10/01/2004 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| William Homard Keetley | 1964727 | 1 | 09/30/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Renee Denise Sopko | 2804431 | 3 | 09/24/2004 | Customer Dispute | Settled | $79,920.70 | $0.00 | See FINRA Report |