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 |
|---|---|---|---|---|---|---|---|---|
| Brian Paul Gibson | 2460629 | 1 | 03/31/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Francis Klasa | 2552671 | 1 | 03/29/2003 | Customer Dispute | Denied | $9,498.68 | $0.00 | See FINRA Report |
| Aaron Phillip Tellez | 4270199 | 4 | 03/24/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Q Tang | 4109886 | 3 | 03/14/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ramon Roberto Dana | 2108035 | 1 | 03/07/2003 | Customer Dispute | Denied | $255,000.00 | $0.00 | See FINRA Report |
| Arnold Richard Riley | 849550 | 10 | 03/06/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clinton Randolph Wilson | 2954236 | 2 | 02/28/2003 | Customer Dispute | Settled | $158,946.00 | $0.00 | See FINRA Report |
| Douglas Marvin Rees | 1005829 | 1 | 02/27/2003 | Customer Dispute | Denied | $71,327.10 | $0.00 | See FINRA Report |
| Timothy Novatnack | 1533747 | 1 | 02/24/2003 | Customer Dispute | Denied | $21,376.40 | $0.00 | See FINRA Report |
| Kenneth Paul Hughie | 2960970 | 3 | 02/18/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |