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 |
|---|---|---|---|---|---|---|---|---|
| Edward M Lynch | 4690810 | 4 | 07/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theresa Lynn Schachner | 3197899 | 1 | 05/13/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur William Brand | 4909374 | 1 | 03/06/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Chi-Tseng Chen | 2569849 | 4 | 02/11/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Patrick Giffin | 2379563 | 1 | 10/31/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Larsen | 2700922 | 1 | 09/05/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Trevor Brent Schwartz | 2626699 | 2 | 08/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric James Costello | 3185252 | 2 | 05/14/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christine Renee McBroom | 5555399 | 1 | 02/01/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Francis Passaglia | 4902417 | 1 | 10/09/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |