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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Alex Johnson | 3096307 | 1 | 10/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hal Carey Sussman | 1394280 | 13 | 10/03/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Michael Stabile | 862141 | 1 | 04/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Giles Symonds | 3106815 | 1 | 11/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Stephan Trimmer | 1396130 | 7 | 10/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Glenn Halliwell | 1048466 | 4 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lance Franklin Thompson | 3155785 | 2 | 08/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hal Carey Sussman | 1394280 | 13 | 04/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kalia A Lane | 5385904 | 1 | 02/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Forster | 4958049 | 5 | 08/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |