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 |
|---|---|---|---|---|---|---|---|---|
| Dennis John Stanek | 2074003 | 1 | 11/28/2012 | Customer Dispute | Denied | $33,400.00 | $0.00 | See FINRA Report |
| Lawrence Clayton Walters | 1929974 | 2 | 11/05/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Stcharles Clark | 856235 | 5 | 09/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Randle Krempasky | 1399011 | 1 | 09/18/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Helen L Abe | 2222281 | 1 | 08/08/2012 | Customer Dispute | Denied | $32,575.00 | $0.00 | See FINRA Report |
| Scott MacGregor Denniston | 1121146 | 1 | 06/07/2012 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Mitchell Allen Halperin | 2256948 | 1 | 05/29/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory D Lunak | 4237363 | 1 | 04/23/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracey Horner Pearson | 4155635 | 1 | 02/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Geri | 2479092 | 1 | 02/22/2012 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |