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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Charles Glosser | 1280880 | 3 | 11/12/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Greg Crosby Wells | 3016841 | 1 | 10/15/2009 | Customer Dispute | Denied | $301,728.00 | $0.00 | See FINRA Report |
| Jeffrey L Nova | 2550362 | 3 | 10/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank M Taylor | 1813980 | 1 | 10/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theodore Stanislaus Blanchard | 4807208 | 1 | 09/04/2009 | Customer Dispute | Denied | $12,677.00 | $0.00 | See FINRA Report |
| Edward Albert Schultz | 1642623 | 1 | 08/10/2009 | Customer Dispute | Denied | $23,100.00 | $0.00 | See FINRA Report |
| Gary Lynn Noordam | 1145657 | 1 | 07/31/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Carl Caruso | 42340 | 2 | 07/27/2009 | Customer Dispute | Denied | $2,230,310.00 | $0.00 | See FINRA Report |
| Jeffrey Dean Ball | 1940030 | 2 | 07/10/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Paul Odonnell | 2121456 | 2 | 06/29/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |