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 |
|---|---|---|---|---|---|---|---|---|
| Paul K Kapur | 4285978 | 6 | 04/21/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Lynn Latham | 2891207 | 1 | 03/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ginger A Shackelford | 2823625 | 1 | 01/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Moulton | 1769171 | 2 | 01/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Janet Caldwell Brown | 6296687 | 4 | 01/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Khallada Lynette Simpson | 6485390 | 3 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Marie Christina | 4843900 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Ann Dollard | 2335548 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hal Carey Sussman | 1394280 | 13 | 12/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ciarra Diane Dipiazza | 6762922 | 2 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |