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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Roskopf | 5658851 | 1 | 09/13/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Burke Alexander Lodge | 6194321 | 1 | 07/09/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Maslanka | 5470874 | 1 | 06/06/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glen J. Schwesinger | 4157241 | 3 | 12/18/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick Herlihy | 4977948 | 1 | 12/14/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Alan Favre | 5321122 | 1 | 10/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Nicole Seim | 4861864 | 2 | 12/12/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kristen Clara Gunaca | 5294574 | 1 | 12/12/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blake Andrew Gwinn | 6559263 | 1 | 11/17/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ira Richard Standingcloud | 6311806 | 1 | 03/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |