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 |
|---|---|---|---|---|---|---|---|---|
| Jon Schulz | 5834911 | 1 | 01/17/2023 | Customer Dispute | Denied | $27,583.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 11/16/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Aaron Jonathan Dykas | 2281381 | 2 | 09/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cash Alan Freeman | 6374508 | 1 | 08/31/2022 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Todd David Ellis | 2202633 | 4 | 03/07/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stacy Hadnot Quiri | 5321469 | 1 | 05/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Ernest Stockum | 1509949 | 1 | 03/26/2021 | Customer Dispute | Denied | $1,222,000.00 | $0.00 | See FINRA Report |
| James Stuart Okun | 2699169 | 2 | 02/08/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Fisher | 1425602 | 3 | 01/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |