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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Charles McFarlin | 2205134 | 2 | 04/20/2009 | Customer Dispute | Denied | $39,661.70 | $0.00 | See FINRA Report |
| John Raymond Hershey | 1413783 | 2 | 04/13/2009 | Customer Dispute | Denied | $39,676.00 | $0.00 | See FINRA Report |
| Melanie McUmber Folstad | 2562408 | 2 | 04/03/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jonas Anders Edstrom | 2581086 | 1 | 03/31/2009 | Customer Dispute | Denied | $6,387.00 | $0.00 | See FINRA Report |
| Steven David Lewis | 2542504 | 4 | 03/13/2009 | Customer Dispute | Denied | $33,553.00 | $0.00 | See FINRA Report |
| Brian Christian Dent | 2869608 | 2 | 03/13/2009 | Customer Dispute | Denied | $143,460.00 | $0.00 | See FINRA Report |
| Tracy Trutnau Hanson | 4541605 | 1 | 03/11/2009 | Customer Dispute | Denied | $26,307.00 | $0.00 | See FINRA Report |
| Bruce Kenneth Berman | 732765 | 3 | 02/26/2009 | Customer Dispute | Denied | $152,052.00 | $0.00 | See FINRA Report |
| Donald Jay Metter | 2318803 | 2 | 02/18/2009 | Customer Dispute | Denied | $54,973.00 | $0.00 | See FINRA Report |
| John Patrick Walsh | 2358189 | 4 | 02/18/2009 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |