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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Louis Hyman | 2045152 | 2 | 07/20/2012 | Customer Dispute | Award / Judgment | $4,500,000.00 | $175,000.00 | See FINRA Report |
| Jonathan Luke Byrne | 5052691 | 1 | 10/21/2010 | Customer Dispute | Award / Judgment | $14,300,000.00 | $0.00 | See FINRA Report |
| Robert Timothy Marwill | 2453589 | 1 | 09/08/2010 | Customer Dispute | Award / Judgment | $3,000,000.00 | $25,000.00 | See FINRA Report |
| Patrick M Ford | 1752638 | 1 | 04/06/2009 | Customer Dispute | Award / Judgment | $1,600,000.00 | $561,819.00 | See FINRA Report |
| Vincent Woo | 1014737 | 6 | 03/05/2009 | Customer Dispute | Award / Judgment | $253,000,000.00 | $30,000,000.00 | See FINRA Report |
| Kevin James Caputo | 1772397 | 1 | 10/08/2007 | Customer Dispute | Award / Judgment | $2,123,940.00 | $500,000.00 | See FINRA Report |
| Thomas Joseph Renzi | 1923679 | 3 | 05/27/2004 | Customer Dispute | Award / Judgment | $65,232.30 | $36,937.50 | See FINRA Report |
| James Joseph Montalto | 711603 | 4 | 12/10/2003 | Customer Dispute | Award / Judgment | $170,000.00 | $70,000.00 | See FINRA Report |
| Paul Phillip Hipsky | 2258496 | 2 | 12/03/2003 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See FINRA Report |
| Geoffrey William Lamb | 2845947 | 2 | 05/01/2003 | Customer Dispute | Award / Judgment | $3,999.00 | $1,006.00 | See FINRA Report |