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 |
|---|---|---|---|---|---|---|---|---|
| Peter Gustave Opp | 2103454 | 2 | 03/07/2003 | Customer Dispute | Award / Judgment | $150,000.00 | $45,000.00 | See FINRA Report |
| Todd David Ellis | 2202633 | 4 | 06/24/2002 | Customer Dispute | Award / Judgment | $173,800.00 | $39,600.00 | See FINRA Report |
| Mark Wayne Bailey | 1345299 | 8 | 05/31/2002 | Customer Dispute | Award / Judgment | $37,136,000.00 | $3,043,630.00 | See FINRA Report |
| David Jonathan Miller | 2434598 | 5 | 05/20/2002 | Customer Dispute | Award / Judgment | $160,000.00 | $35,000.00 | See FINRA Report |
| Katherine Stcharles Clark | 856235 | 5 | 02/04/2002 | Customer Dispute | Award / Judgment | $571,999.00 | $172,167.00 | See FINRA Report |
| Michael Eric Bourke | 2412223 | 3 | 11/18/2001 | Customer Dispute | Award / Judgment | $470,576.00 | $125,000.00 | See FINRA Report |
| John Arthur Kuhlman, Jr | 859650 | 3 | 07/13/2001 | Customer Dispute | Award / Judgment | $600,000.00 | $8,000.00 | See FINRA Report |
| Kevin Christopher Krul | 2419236 | 1 | 05/15/2001 | Customer Dispute | Award / Judgment | $450,000.00 | $240,000.00 | See FINRA Report |
| Mark Valentine Dyer | 825417 | 3 | 05/19/2000 | Customer Dispute | Award / Judgment | $1,466,890.00 | $260,284.00 | See FINRA Report |
| Jeffrey A Deyoung | 1141727 | 1 | 04/08/1999 | Customer Dispute | Award / Judgment | $800,000.00 | $32,728.00 | See FINRA Report |