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 |
|---|---|---|---|---|---|---|---|---|
| Ozzie Isaac Fishman | 722928 | 3 | 09/03/2003 | Customer Dispute | Closed-No Action | $59,428.50 | $0.00 | See FINRA Report |
| James Francis Watkinson | 2865925 | 1 | 08/27/2003 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| David Lenn Deruelle | 4023444 | 1 | 08/22/2003 | Customer Dispute | Closed-No Action | $62,426.00 | $0.00 | See FINRA Report |
| James Patrick Leslie | 1057563 | 3 | 07/08/2003 | Customer Dispute | Closed-No Action | $42,245.60 | $0.00 | See FINRA Report |
| Albert J Fusca | 2134317 | 1 | 07/07/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Marshall Evan Ames | 1144603 | 1 | 07/01/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Christopher Teague | 2325829 | 5 | 11/27/2002 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Donald Charles Musnicki | 1860946 | 1 | 11/22/2002 | Customer Dispute | Closed-No Action | $92,000.00 | $0.00 | See FINRA Report |
| Kevin Brent Roberts | 2850275 | 2 | 11/12/2002 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| David Jonathan Miller | 2434598 | 5 | 10/30/2002 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |