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 |
|---|---|---|---|---|---|---|---|---|
| James Woodrow Hamilton | 5555012 | 1 | 10/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Anthony Clavizzao | 6084919 | 1 | 08/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert D. Rice | 6377530 | 1 | 01/04/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth William Flannery | 4904500 | 1 | 08/17/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph John Esposito | 860964 | 3 | 04/03/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Bassett | 6721155 | 3 | 03/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Bassett | 6721155 | 3 | 01/03/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Catalina Mejia - Hensel | 5877283 | 1 | 09/06/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Carlton Berg | 5759994 | 1 | 02/05/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Anthony Rao | 2104572 | 4 | 12/04/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |