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 Paul Woods | 1143935 | 2 | 01/01/1989 | Customer Dispute | Award / Judgment | $10,000.00 | $5,000.00 | See FINRA Report |
| Thomas Lynds Coxhead | 1140899 | 1 | 05/18/1988 | Customer Dispute | Award / Judgment | $51,099.00 | $21,623.10 | See FINRA Report |
| Thomas John Tarka | 852709 | 3 | 08/27/1987 | Customer Dispute | Award / Judgment | $50,000.00 | $5,893.37 | See FINRA Report |