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 |
|---|---|---|---|---|---|---|---|---|
| Richard David Ormsby | 2652116 | 2 | 05/01/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stacie Weiner | 1361975 | 1 | 01/29/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Glenn Miller | 1638266 | 1 | 06/08/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dodd Newton Koeckert | 1376169 | 1 | 05/04/2000 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| John Douglas Letourneau | 2612725 | 4 | 04/13/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Winn | 1198523 | 4 | 03/17/2000 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| Susan Dolores Natsios | 2408052 | 1 | 03/17/2000 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| John W Shamlian | 1031773 | 3 | 01/24/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Elias Jean Pery | 705580 | 3 | 10/22/1998 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Matthew Depinto | 2612618 | 1 | 10/08/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |