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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Scott Dictor | 1068558 | 6 | 06/29/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Donna Gwendolyn Collins | 2904387 | 1 | 06/04/2004 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Howley Sweeney | 3218509 | 2 | 05/25/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kelly Ray Hosek | 3268033 | 8 | 05/05/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Gregory Donald Lowder | 2325018 | 3 | 04/29/2004 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Richard Patrick Hendry | 2529259 | 2 | 04/21/2004 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Nelson Stone Burbank | 1277035 | 1 | 04/05/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kurt Enoch Chase | 3051215 | 2 | 03/30/2004 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| John Joseph Watson | 1769147 | 2 | 03/26/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stanley Amos Hauxwell | 865228 | 1 | 03/21/2004 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |