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 |
|---|---|---|---|---|---|---|---|---|
| Gary Leroy Norman | 4095242 | 1 | 06/30/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Bartholomew Fanning | 1142041 | 2 | 04/24/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Debra Jean Butters | 4069079 | 1 | 04/01/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Chapkis | 2770441 | 3 | 11/29/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Peter Demers | 1622194 | 1 | 08/30/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Mark Miller | 4140177 | 2 | 08/26/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hal Carey Sussman | 1394280 | 13 | 03/28/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Allen McGuigan | 6374768 | 1 | 09/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian C Vail | 2791588 | 2 | 07/07/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Chapkis | 2770441 | 3 | 01/17/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |