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 |
|---|---|---|---|---|---|---|---|---|
| Robert J Boulanger | 5273084 | 1 | 01/30/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jimmy J Galindo | 2922619 | 4 | 01/04/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Evan James | 2393771 | 1 | 12/27/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Barry Lipson | 1875916 | 1 | 12/06/2011 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Marc I Lipson | 5051928 | 1 | 12/06/2011 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Thomas Edson Schryver | 2248671 | 1 | 12/05/2011 | Customer Dispute | Denied | $374,000.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 11/09/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Willard Lee Rumley | 4597547 | 1 | 10/18/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Critt Daniel Walton | 2911644 | 1 | 09/28/2011 | Customer Dispute | Denied | $7,956.14 | $0.00 | See FINRA Report |
| William Thomas Bredice | 2399831 | 2 | 06/14/2011 | Customer Dispute | Denied | $15,377.30 | $0.00 | See FINRA Report |