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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Folsom | 864259 | 3 | 10/14/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sacha David Zurawel | 2580945 | 2 | 09/04/2002 | Customer Dispute | Closed-No Action | $1,500,000.00 | $0.00 | See FINRA Report |
| Harold Louis Green | 1790093 | 3 | 04/02/2002 | Customer Dispute | Closed-No Action | $600,000.00 | $0.00 | See FINRA Report |
| Ozzie Isaac Fishman | 722928 | 3 | 02/19/2002 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Joel E Slovin | 2466600 | 2 | 11/15/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mary Elizabeth Dale | 716099 | 4 | 08/24/2001 | Customer Dispute | Closed-No Action | $241,845.00 | $0.00 | See FINRA Report |
| Daniel John Legan | 2360114 | 3 | 08/17/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Walker Kenny | 1653062 | 2 | 08/08/2001 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |
| Scott Matthew Grenert | 1675559 | 2 | 08/01/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Winn | 1198523 | 4 | 05/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |