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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo Corte | 6549205 | 1 | 10/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas O'Brien Criqui | 2275390 | 1 | 10/23/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rebecca Ellen Lindholm | 6676974 | 1 | 03/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan John Souligny | 4330617 | 5 | 05/23/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emily McCall Huffman | 5941421 | 1 | 04/29/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anna R Thackston | 5907520 | 1 | 05/15/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Degregorio | 5568676 | 1 | 02/25/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Mark Businski | 5678975 | 1 | 01/22/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Kriegler | 5395103 | 1 | 12/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael David Roskopf | 5658851 | 1 | 09/13/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |