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 |
|---|---|---|---|---|---|---|---|---|
| James Bassett | 6721155 | 3 | 09/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Louis Burg | 2314120 | 3 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 06/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 04/21/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Q Tang | 4109886 | 3 | 09/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Weinberg | 6379753 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Jason McMahon | 2566978 | 4 | 06/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Jason McMahon | 2566978 | 4 | 05/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul K Kapur | 4285978 | 6 | 11/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Scott Spicer | 2511031 | 1 | 07/08/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |