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 |
|---|---|---|---|---|---|---|---|---|
| Keith Kavell Carter | 4703579 | 2 | 08/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alisha Wanette Horton | 3002918 | 5 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Alisha Wanette Horton | 3002918 | 5 | 08/15/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Alison Jean Hamilton | 6398834 | 1 | 06/05/2024 | Customer Dispute | Pending | $251,901.00 | $0.00 | See FINRA Report |
| Earl Haden Hamilton | 2550236 | 2 | 06/05/2024 | Customer Dispute | Pending | $251,901.00 | $0.00 | See FINRA Report |
| Nicole Noel Middendorf | 3251084 | 2 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alisha Wanette Horton | 3002918 | 5 | 04/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Bradley Scot Frisk | 5957389 | 2 | 03/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Howard Sivley | 3070468 | 1 | 01/09/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Andrew Page Lilly | 5497625 | 1 | 12/19/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |