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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Mark Miller | 4140177 | 2 | 08/26/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Norman | 820550 | 14 | 08/04/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Scott Norman | 820550 | 14 | 08/04/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stephen Putnam | 369059 | 7 | 05/03/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hal Carey Sussman | 1394280 | 13 | 03/28/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Allen McGuigan | 6374768 | 1 | 09/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Norman | 820550 | 14 | 08/31/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian C Vail | 2791588 | 2 | 07/07/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Chapkis | 2770441 | 3 | 01/17/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fran Elizabeth Byerly | 3229460 | 1 | 10/20/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |