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 |
|---|---|---|---|---|---|---|---|---|
| James Wides Goralnik | 4251215 | 1 | 08/08/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Joseph Strek | 2353842 | 1 | 07/10/2024 | Customer Dispute | Denied | $10,405.40 | $0.00 | See FINRA Report |
| Wayne Curt Rubinas | 4568138 | 1 | 02/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rebecca Glasgow | 4720346 | 1 | 02/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leslie Ann Lauer | 2941432 | 2 | 02/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theresa Allen | 2183693 | 6 | 08/11/2023 | Customer Dispute | Denied | $1,070,000.00 | $0.00 | See FINRA Report |
| Rhys A Helt | 2447099 | 1 | 03/31/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 03/30/2023 | Customer Dispute | Denied | $63,059.10 | $0.00 | See FINRA Report |
| Otho Francis Evans | 1199304 | 1 | 03/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Eugene Theobald | 1235214 | 1 | 03/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |