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 |
|---|---|---|---|---|---|---|---|---|
| Curt Byron Allen | 1659391 | 6 | 12/02/2013 | Customer Dispute | Denied | $2,000,000.00 | $0.00 | See FINRA Report |
| Dustin Allen Smith | 2803156 | 1 | 10/16/2013 | Customer Dispute | Denied | $330,000.00 | $0.00 | See FINRA Report |
| Brad Fowler Baron | 2334124 | 1 | 07/18/2013 | Customer Dispute | Denied | $225,000.00 | $0.00 | See FINRA Report |
| David Joseph Messaline | 332616 | 2 | 07/01/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Frank Lynch | 1006065 | 1 | 06/11/2013 | Customer Dispute | Denied | $14,240.00 | $0.00 | See FINRA Report |
| Garth Michael Conner | 2202194 | 1 | 05/10/2013 | Customer Dispute | Denied | $15,700.00 | $0.00 | See FINRA Report |
| Michael L Lumsden | 4312952 | 1 | 04/09/2013 | Customer Dispute | Denied | $15,700.00 | $0.00 | See FINRA Report |
| Russell Samuel Sherred | 829137 | 2 | 02/19/2013 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| John Neale McIntyre | 1233196 | 2 | 02/13/2013 | Customer Dispute | Denied | $650,000.00 | $0.00 | See FINRA Report |
| Wendy Kay Tjelmeland | 1192726 | 3 | 12/11/2012 | Customer Dispute | Denied | $70,403.10 | $0.00 | See FINRA Report |