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 |
|---|---|---|---|---|---|---|---|---|
| Daniel M Starr | 2385352 | 1 | 05/18/2011 | Customer Dispute | Denied | $25,494.00 | $0.00 | See FINRA Report |
| Barbara Suzanne Wagner | 1434482 | 2 | 05/16/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Scott Andrew Ceniccola | 2230926 | 2 | 05/06/2011 | Customer Dispute | Denied | $856,000.00 | $0.00 | See FINRA Report |
| Steven Robert Karmelin | 2866387 | 3 | 04/25/2011 | Customer Dispute | Denied | $54,352.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 03/31/2011 | Customer Dispute | Denied | $1,853,960.00 | $0.00 | See FINRA Report |
| Ralph David Barocas | 837446 | 3 | 03/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Valentine Dyer | 825417 | 3 | 02/22/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey L Nova | 2550362 | 3 | 01/20/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey L Nova | 2550362 | 3 | 12/31/2010 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James Michael Earl | 1234987 | 4 | 12/16/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |