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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Tarka | 852709 | 3 | 08/27/1987 | Customer Dispute | Award / Judgment | $50,000.00 | $5,893.37 | See FINRA Report |
| Edward James Schuller | 848424 | 2 | 07/10/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Stephen Pawlak | 1245568 | 3 | 12/18/1986 | Customer Dispute | Settled | $127,454.00 | $0.00 | See FINRA Report |
| Brian James Kerwin | 717192 | 1 | 10/18/1984 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| John Arthur Kuhlman, Jr | 859650 | 3 | 05/01/1982 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Steven E Spiesberger | 856203 | 1 | 09/01/1981 | Customer Dispute | Settled | $312,381.00 | $0.00 | See FINRA Report |
| Douglas Andrew Sharon | 728393 | 4 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Robert Jansson | 257438 | 2 | 08/01/1975 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |