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 |
|---|---|---|---|---|---|---|---|---|
| Randy Carl Parker | 2288305 | 2 | 08/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Enrique Eduardo Solano | 6237714 | 1 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alisha Wanette Horton | 3002918 | 5 | 02/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Stephan Trimmer | 1396130 | 7 | 12/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Thomas Williams | 5323913 | 1 | 06/26/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Guy Rainer Broussard | 1207676 | 1 | 03/22/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Stephan Trimmer | 1396130 | 7 | 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 | |
| Tae Hullum | 7183389 | 1 | 08/11/2022 | 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 |