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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Anthony Giambri | 4096024 | 2 | 01/06/2003 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Ronald Lawrence Baker | 2265309 | 2 | 12/23/2002 | Customer Dispute | Denied | $9,900.00 | $0.00 | See FINRA Report |
| Michael Steven Martin | 3124679 | 2 | 12/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Kenneth Fischer | 2557611 | 2 | 12/23/2002 | Customer Dispute | Settled | $18,237.80 | $0.00 | See FINRA Report |
| Michael Edward Soshnik | 1226726 | 2 | 12/22/2002 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Ronald James May | 846222 | 2 | 12/02/2002 | Customer Dispute | Award / Judgment | $0.00 | $74,886.00 | See FINRA Report |
| Lynn Wilson McAmis | 843568 | 3 | 12/02/2002 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Mark Steven Loftus | 1720328 | 3 | 11/20/2002 | Customer Dispute | Denied | $211,968.00 | $0.00 | See FINRA Report |
| Andrew Karstad Henrickson | 4279460 | 2 | 11/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Douglas Harman | 4428791 | 1 | 11/13/2002 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |