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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Bernard Kai Yip | 2391643 | 1 | 05/31/2024 | Customer Dispute | Denied | $108,712.00 | $0.00 | See FINRA Report |
| Michele Suzanne Nettesheim | 4866891 | 1 | 05/25/2024 | Customer Dispute | Denied | $11,317.30 | $0.00 | See FINRA Report |
| Enrique Eduardo Solano | 6237714 | 1 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicole Noel Middendorf | 3251084 | 2 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregg Philip Desmarais | 6602147 | 1 | 04/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Earl Best | 2225091 | 2 | 04/12/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Eric Monson | 4166408 | 1 | 04/11/2024 | Customer Dispute | Denied | $5,635.14 | $0.00 | See FINRA Report |
| Alisha Wanette Horton | 3002918 | 5 | 04/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |