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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Chisholm | 2995302 | 1 | 09/24/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eamon John Shanahan | 2749372 | 1 | 04/25/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne L Walsh | 2586689 | 1 | 05/31/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Lincoln Lyon | 4160409 | 1 | 04/07/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rob Thomas Kuehn | 2696713 | 1 | 03/22/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan S Griego | 4848678 | 1 | 04/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris Wayne Allen | 5457114 | 1 | 01/17/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Sangerman | 1217549 | 4 | 02/23/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ernst | 2409922 | 3 | 07/09/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Robinson Rapp | 2474076 | 1 | 02/20/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |