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 |
|---|---|---|---|---|---|---|---|---|
| Steven Peter Ganan | 3103484 | 1 | 06/29/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ryan James Nottestad | 4532714 | 1 | 05/29/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger Wicks Stephens | 1042485 | 1 | 05/29/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Edward Ramer Aunger | 4535352 | 2 | 05/26/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Randall Dean Hartley | 2771978 | 1 | 05/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Brown | 2870658 | 1 | 05/21/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Andrew Covell | 1243121 | 2 | 05/13/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Scott Alan Obenshain | 1965919 | 2 | 05/12/2009 | Customer Dispute | Denied | $47,000,000.00 | $0.00 | See FINRA Report |
| Theresa Jean Huntley | 4152874 | 2 | 05/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Robin Ellis | 2590319 | 2 | 05/01/2009 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |