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 |
|---|---|---|---|---|---|---|---|---|
| Brian Mark Katz | 1395919 | 2 | 08/06/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Jay Basson | 1240658 | 1 | 02/15/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven John Welbourn | 1065676 | 1 | 10/01/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Delores Peltier | 1520218 | 1 | 03/24/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John William Metz | 1198927 | 2 | 05/01/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Christopher Teague | 2325829 | 5 | 03/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Caroline Hansen | 732923 | 3 | 12/22/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Francis Radtke | 1006217 | 1 | 03/06/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |