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 |
|---|---|---|---|---|---|---|---|---|
| Lauren Nicole Seim | 4861864 | 2 | 01/24/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cindy Gay Lewis | 2406321 | 1 | 06/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Dale Whittington | 5318393 | 1 | 05/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Paul Ferdula | 4561867 | 1 | 12/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Reither | 4177875 | 1 | 05/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kermit Edwin Housh | 2952998 | 1 | 04/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grady O. Jackson | 2835700 | 1 | 02/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Ridgway | 3156465 | 1 | 02/10/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Sean Oconnor | 2965360 | 1 | 11/25/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis Denson Oswalt | 2594951 | 1 | 10/20/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |