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 Spottswood Gibson | 1709647 | 4 | 09/10/2009 | Customer Dispute | Closed-No Action | $19,917.20 | $0.00 | See FINRA Report |
| Seth W Miller | 5121941 | 1 | 11/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Kenneth Berman | 732765 | 3 | 08/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Geisler | 2316847 | 1 | 04/08/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Robert Brandenberger | 4180452 | 1 | 02/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brady Edward Pedler | 2765595 | 2 | 06/15/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel John Legan | 2360114 | 3 | 01/22/2007 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Craig L Redcay | 4971473 | 2 | 11/10/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harold Louis Green | 1790093 | 3 | 06/19/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Patterson Sterrett | 3063360 | 1 | 09/20/2005 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |