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 |
|---|---|---|---|---|---|---|---|---|
| Khallada Lynette Simpson | 6485390 | 3 | 11/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Khallada Lynette Simpson | 6485390 | 3 | 11/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edgar Ivan Rincon | 6729402 | 1 | 10/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Pieronowski | 5793530 | 3 | 10/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffry Kirby Wolfe | 6206774 | 1 | 10/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ricardo de La Torre | 5074539 | 1 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Pieronowski | 5793530 | 3 | 10/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Lee Lauderbach | 6970605 | 1 | 09/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Tutcher | 6072043 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Juan Ray | 6548563 | 1 | 08/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |