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 |
|---|---|---|---|---|---|---|---|---|
| Henry Bain Gill | 1301662 | 1 | 08/04/1992 | Customer Dispute | Settled | $23,485.00 | $0.00 | See FINRA Report |
| Terry Alan Sherman | 1445803 | 5 | 03/25/1992 | Customer Dispute | Award / Judgment | $40,000.00 | $24,844.00 | See FINRA Report |
| Paul Douglas Debey | 1289706 | 1 | 02/24/1992 | Customer Dispute | Award / Judgment | $2,000.00 | $6,026.00 | See FINRA Report |
| Perry Stephen Fong | 1263992 | 7 | 01/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Byron Shafer | 1282180 | 2 | 12/13/1991 | Customer Dispute | Award / Judgment | $30,000.00 | $7,525.90 | See FINRA Report |
| Michael Jay Weinstein | 1037475 | 2 | 06/17/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Travis Daniel Sullivan | 1517023 | 1 | 05/29/1991 | Customer Dispute | Award / Judgment | $53,000.00 | $85,000.00 | See FINRA Report |
| Walter J MacK | 857543 | 3 | 05/15/1991 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Ofarrell | 1302300 | 6 | 03/12/1991 | Customer Dispute | Award / Judgment | $165,180.00 | $0.00 | See FINRA Report |
| Earl Benjamin Marks | 724045 | 3 | 11/19/1990 | Customer Dispute | Award / Judgment | $44,324.80 | $40,937.40 | See FINRA Report |