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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Blake Gabriele | 1356162 | 2 | 12/08/1998 | Customer Dispute | Award / Judgment | $12,000.00 | $18,038.00 | See FINRA Report |
| Douglas Andrew Sharon | 728393 | 4 | 11/19/1997 | Customer Dispute | Award / Judgment | $6,000,000.00 | $2,687,130.00 | See FINRA Report |
| Steven Jay Ornstein | 1576795 | 3 | 08/06/1996 | Customer Dispute | Award / Judgment | $179,000.00 | $10,000.00 | See FINRA Report |
| Thomas Christophe Prentice | 874774 | 1 | 07/22/1996 | Customer Dispute | Award / Judgment | $6,032.90 | $6,032.90 | See FINRA Report |
| Lawrence Frederick Andrews | 1298452 | 1 | 03/03/1995 | Customer Dispute | Award / Judgment | $248,088.00 | $44,688.00 | See FINRA Report |
| Joseph Stradling Ballantyne | 860984 | 2 | 09/15/1994 | Customer Dispute | Award / Judgment | $106,690.00 | $70,968.00 | See FINRA Report |
| Timothy Allen Grantham | 1947194 | 1 | 03/23/1994 | Customer Dispute | Award / Judgment | $50,000.00 | $1,575.37 | See FINRA Report |
| Carlton Brien Pace | 2125319 | 1 | 01/10/1994 | Customer Dispute | Award / Judgment | $10,187.00 | $1,000.00 | See FINRA Report |
| Norman Lehrer | 1106075 | 2 | 02/08/1993 | Customer Dispute | Award / Judgment | $127,342.00 | $65,524.80 | See FINRA Report |
| Thomas John Tarka | 852709 | 3 | 11/02/1992 | Customer Dispute | Award / Judgment | $164,311.00 | $91,000.00 | See FINRA Report |