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 |
|---|---|---|---|---|---|---|---|---|
| James L Weinstock | 732928 | 1 | 07/05/2019 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Quinn M Jensen | 3203881 | 2 | 01/13/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Allen Lewin | 2753178 | 1 | 08/11/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alison Ann Walker | 4464323 | 1 | 01/25/2013 | Customer Dispute | Closed-No Action | $51,709.30 | $0.00 | See FINRA Report |
| Daniel Mathew Showers | 2182998 | 3 | 01/08/2013 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Stephen Andrew Braatz | 5531928 | 3 | 11/14/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard David Ormsby | 2652116 | 2 | 01/18/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Danny J Viola | 1459036 | 3 | 04/15/2010 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Stanley Lee Crisci | 2687393 | 3 | 02/05/2010 | Customer Dispute | Closed-No Action | $343,000.00 | $0.00 | See FINRA Report |
| Daniel Mathew Showers | 2182998 | 3 | 12/02/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |