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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Paul Vitale | 1857106 | 1 | 09/20/2005 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Timothy Ralph Bockhold | 2563004 | 2 | 03/29/2005 | Customer Dispute | Closed-No Action | $78,000.00 | $0.00 | See FINRA Report |
| Judith Chrisann Taras | 2472295 | 1 | 03/21/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Raymond Callot | 2234131 | 3 | 10/19/2004 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Harold Louis Green | 1790093 | 3 | 07/22/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Craig Anderson | 1493362 | 1 | 05/26/2004 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Patricia Marion Thorpe | 719523 | 1 | 02/06/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roy Albert Mendoza | 2171006 | 1 | 01/06/2004 | Customer Dispute | Closed-No Action | $5,100.00 | $0.00 | See FINRA Report |
| Rhett Paul Neuman | 2351584 | 1 | 12/15/2003 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Earl David Walter | 704077 | 7 | 10/06/2003 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |