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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Charles Lafleur | 2661521 | 1 | 10/30/2003 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| John Joseph Dimpel | 2009874 | 1 | 10/21/2003 | Customer Dispute | Closed-No Action | $91,770.00 | $0.00 | See FINRA Report |
| William Scott Mitchell | 2377724 | 1 | 10/20/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael Andrew Tutcher | 2306833 | 6 | 10/17/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Lisa Lynn Reitmeyer | 2504878 | 2 | 10/16/2003 | Customer Dispute | Denied | $33,073.40 | $0.00 | See FINRA Report |
| Kenneth Paul Hughie | 2960970 | 3 | 10/02/2003 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Isabella Roma Griffin | 1651990 | 1 | 09/30/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Frank Leslie Haviland | 3098126 | 5 | 09/29/2003 | Customer Dispute | Denied | $9,251.25 | $0.00 | See FINRA Report |
| Michael Steven Bullis | 3004994 | 3 | 09/26/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Edgar Lynch | 1056728 | 4 | 09/25/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |