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 |
|---|---|---|---|---|---|---|---|---|
| Todd David Ellis | 2202633 | 4 | 03/07/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Patrick M Cummings | 4858761 | 1 | 12/24/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacy Hadnot Quiri | 5321469 | 1 | 05/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lynn Ann Boland | 3207692 | 1 | 04/27/2021 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| William Ernest Stockum | 1509949 | 1 | 03/26/2021 | Customer Dispute | Denied | $1,222,000.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Fisher | 1425602 | 4 | 01/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Lawrence Phillips | 4761544 | 2 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |
| Christopher Lee Yingling | 2402303 | 2 | 01/25/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Charles Heide | 2112032 | 1 | 08/24/2020 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |