Our Staff has compiled our research into a database of FINRA Broker Disclosures for RBC Capital Markets, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Thomas Iannacone | 254526 | 1 | 09/02/2021 | Customer Dispute | Award / Judgment | $100,000.00 | $16,415.30 | See FINRA Report |
| Steven A Gordon | 1112019 | 1 | 12/17/2019 | Customer Dispute | Award / Judgment | $1,200.00 | $1,275.00 | See FINRA Report |
| Gregory Timothy Dudzik | 1133671 | 4 | 05/24/2019 | Customer Dispute | Award / Judgment | $200,000.00 | $125,000.00 | See FINRA Report |
| James Michael Earl | 1234987 | 4 | 11/07/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Bryan Kristian Pedersen | 2647617 | 1 | 03/21/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $559,612.00 | See FINRA Report |
| Jacqueline Sarette Georgio | 2966594 | 1 | 03/21/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $559,612.00 | See FINRA Report |
| John Thomas Folsom | 864259 | 3 | 08/03/2015 | Customer Dispute | Award / Judgment | $1,500,000.00 | $212,000.00 | See FINRA Report |
| Matthew Franklin Sweeney | 2749940 | 1 | 08/03/2015 | Customer Dispute | Award / Judgment | $1,500,000.00 | $212,000.00 | See FINRA Report |
| David Joseph Messaline | 332616 | 2 | 01/13/2015 | Customer Dispute | Award / Judgment | $213,396.00 | $175,000.00 | See FINRA Report |
| Clive Grady Buchan | 2864659 | 1 | 03/27/2014 | Customer Dispute | Award / Judgment | $24,000.00 | $441.14 | See FINRA Report |