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 |
|---|---|---|---|---|---|---|---|---|
| Terry Alan Sherman | 1445803 | 5 | 03/25/1992 | Customer Dispute | Award / Judgment | $40,000.00 | $24,844.00 | See FINRA Report |
| Paul Douglas Debey | 1289706 | 1 | 02/24/1992 | Customer Dispute | Award / Judgment | $2,000.00 | $6,026.00 | See FINRA Report |
| Christopher Byron Shafer | 1282180 | 2 | 12/13/1991 | Customer Dispute | Award / Judgment | $30,000.00 | $7,525.90 | See FINRA Report |
| Travis Daniel Sullivan | 1517023 | 1 | 05/29/1991 | Customer Dispute | Award / Judgment | $53,000.00 | $85,000.00 | See FINRA Report |
| Thomas Charles Ofarrell | 1302300 | 6 | 03/12/1991 | Customer Dispute | Award / Judgment | $165,180.00 | $0.00 | See FINRA Report |
| Earl Benjamin Marks | 724045 | 3 | 11/19/1990 | Customer Dispute | Award / Judgment | $44,324.80 | $40,937.40 | See FINRA Report |
| Earl Benjamin Marks | 724045 | 3 | 11/01/1990 | Customer Dispute | Award / Judgment | $8,251.19 | $4,000.00 | See FINRA Report |
| Richard Arthur Schaefer | 1048695 | 1 | 09/08/1989 | Customer Dispute | Award / Judgment | $88,763.00 | $27,403.90 | See FINRA Report |
| Bernard Fisch | 1218831 | 1 | 06/26/1989 | Customer Dispute | Award / Judgment | $4,320.00 | $2,500.00 | See FINRA Report |
| Mark Wayne Bailey | 1345299 | 8 | 06/15/1989 | Customer Dispute | Award / Judgment | $60,000.00 | $15,900.00 | See FINRA Report |