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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey Harrison Brent | 1096221 | 2 | 11/24/2008 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Steven Shaw Eagley | 2949571 | 1 | 11/24/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Joseph Smart | 1847362 | 1 | 11/20/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Scott Robinson | 1467247 | 2 | 11/17/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Earl | 1234987 | 4 | 11/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Gorham | 4374122 | 1 | 11/03/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Steven Mance | 1016387 | 1 | 10/30/2008 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Todd Wayne Halbrook | 2554506 | 1 | 10/20/2008 | Customer Dispute | Denied | $199,327.00 | $0.00 | See FINRA Report |
| Steven A Sackel | 4500767 | 1 | 10/17/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Fitzgerald Acosta | 2766451 | 1 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |