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 |
|---|---|---|---|---|---|---|---|---|
| Chris Wayne Allen | 5457114 | 1 | 01/17/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Jonathan Dykas | 2281381 | 2 | 05/07/1990 | 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 |
| Curtiss Arthur Lacross | 5271214 | 1 | 02/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Pellicoro | 3246768 | 1 | 09/30/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Hughes | 2887304 | 2 | 01/17/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Root | 1788245 | 1 | 03/13/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vance Leonard Falbaum | 1810310 | 1 | 03/09/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |