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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Pulliam | 2224237 | 3 | 08/06/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Gideon | 4141970 | 1 | 08/04/2003 | Customer Dispute | Denied | $17,813.90 | $0.00 | See FINRA Report |
| Arnold Richard Riley | 849550 | 10 | 07/28/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Austin Norris Heberger | 2318879 | 1 | 07/21/2003 | Customer Dispute | Denied | $5,004.00 | $0.00 | See FINRA Report |
| Luis Prieto | 2487683 | 4 | 07/18/2003 | Customer Dispute | Pending | $917,768.00 | $0.00 | See FINRA Report |
| James Allen Dickson | 67493 | 2 | 07/11/2003 | Customer Dispute | Withdrawn | $122,000.00 | $0.00 | See FINRA Report |
| Lynda Collier Parker | 1938608 | 3 | 07/06/2003 | Customer Dispute | Denied | $37,148.50 | $0.00 | See FINRA Report |
| Lynda Collier Parker | 1938608 | 3 | 07/06/2003 | Customer Dispute | Denied | $800,000.00 | $0.00 | See FINRA Report |
| Robert Curtis Fritts | 1601817 | 1 | 07/03/2003 | Customer Dispute | Denied | $13,500.00 | $0.00 | See FINRA Report |
| Paul Stephen Wood | 2540164 | 1 | 07/02/2003 | Customer Dispute | Award / Judgment | $434,000.00 | $226,896.00 | See FINRA Report |