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 |
|---|---|---|---|---|---|---|---|---|
| Charlotte Anne McConnell | 1161160 | 1 | 11/13/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Robert Arthur Koba | 5046092 | 2 | 09/11/2023 | Customer Dispute | Pending | $9,484.22 | $0.00 | See FINRA Report |
| Alisha Wanette Horton | 3002918 | 5 | 07/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Kevin Elliott | 1245946 | 1 | 01/17/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Kathleen Anne Muldoon | 867826 | 1 | 01/24/2022 | Customer Dispute | Pending | $1,200,000.00 | $0.00 | See FINRA Report |
| Jennifer Alice Harris | 4449521 | 1 | 10/01/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Philip Andre Peloquin | 2026151 | 3 | 11/27/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Victor Thomas Connor | 843521 | 4 | 03/04/2013 | Customer Dispute | Pending | $15,200.00 | $0.00 | See FINRA Report |
| Luis Prieto | 2487683 | 4 | 07/18/2003 | Customer Dispute | Pending | $917,768.00 | $0.00 | See FINRA Report |
| Michael Jack Goodman | 802732 | 1 | 06/18/2002 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |