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 |
|---|---|---|---|---|---|---|---|---|
| Michelle Grace Swenson | 2949007 | 1 | 11/27/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clinton Randolph Wilson | 2954236 | 2 | 11/13/2023 | Customer Dispute | Withdrawn | $4,000,000.00 | $0.00 | See FINRA Report |
| Charlotte Anne McConnell | 1161160 | 1 | 11/13/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Peter Anderson | 6180444 | 1 | 10/15/2023 | Customer Dispute | Denied | $29,190.00 | $0.00 | See FINRA Report |
| Sherrill Franklin Young | 4417847 | 1 | 10/11/2023 | Customer Dispute | Denied | $135,000.00 | $0.00 | See FINRA Report |
| Earl Haden Hamilton | 2550236 | 2 | 09/19/2023 | Customer Dispute | Denied | $16,493.70 | $0.00 | See FINRA Report |
| James Gordon Hyre | 2429707 | 2 | 09/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Arthur Koba | 5046092 | 2 | 09/11/2023 | Customer Dispute | Pending | $9,484.22 | $0.00 | See FINRA Report |
| Cyan Elizabeth Batchelor | 4482682 | 1 | 09/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Matthew Tillotson | 4445703 | 2 | 08/25/2023 | Customer Dispute | Denied | $13,135.00 | $0.00 | See FINRA Report |