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 |
|---|---|---|---|---|---|---|---|---|
| Mark Stephan Trimmer | 1396130 | 6 | 12/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hal Carey Sussman | 1394280 | 13 | 09/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Otto Schreiber | 839937 | 5 | 06/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Stephan Trimmer | 1396130 | 6 | 06/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maria H Caston | 6610097 | 1 | 03/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Eugene Moranville | 2479898 | 1 | 01/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chabely Montes de Oca Rios | 6391313 | 2 | 11/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chabely Montes de Oca Rios | 6391313 | 2 | 10/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt Alan White | 1999859 | 1 | 05/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristin Marie Frazier | 5213694 | 1 | 04/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |