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 |
|---|---|---|---|---|---|---|---|---|
| Eric Jason McMahon | 2566978 | 4 | 06/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Jason McMahon | 2566978 | 4 | 05/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 03/18/2013 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |
| John Francis Kloecker | 2637056 | 6 | 03/08/2013 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 11/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Scott Spicer | 2511031 | 1 | 07/08/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl Jefferson Davis | 3135524 | 4 | 02/18/2011 | Customer Dispute | Final | $25,000.00 | $0.00 | See FINRA Report |
| Eric Jason McMahon | 2566978 | 4 | 09/17/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 09/17/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Thomas Plunkett | 4859990 | 1 | 06/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |