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 |
|---|---|---|---|---|---|---|---|---|
| Dave Lorrington Edwards | 5349833 | 1 | 04/10/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Harris | 7464855 | 1 | 10/27/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Peter Ringelberg | 7233264 | 1 | 03/28/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kodanda Sairam Vinjamuri | 7134476 | 1 | 04/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Peter Hoyles | 7553302 | 1 | 12/20/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ralph David Barocas | 837446 | 3 | 10/14/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Hoffman Philip | 7140096 | 1 | 04/16/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Reyes | 4535042 | 1 | 12/18/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Henry Hamel | 1542204 | 1 | 07/08/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nickolas Bradley Johnson | 6787125 | 1 | 05/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |