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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Henry MacIntyre | 2577422 | 2 | 09/10/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Todd David Ellis | 2202633 | 4 | 09/10/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Clare van Atta | 851558 | 1 | 09/09/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Gerald Lee Barkley | 4342757 | 3 | 09/05/2008 | Customer Dispute | Denied | $25,380.00 | $0.00 | See FINRA Report |
| George Alan Riemer | 1004632 | 3 | 09/03/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Merle Seline | 1751843 | 2 | 08/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan John Souligny | 4330617 | 5 | 08/22/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerald Lee Barkley | 4342757 | 3 | 08/14/2008 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Aaron Anthony Gallardo | 2727350 | 1 | 07/22/2008 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Peter Torres | 4580940 | 1 | 07/16/2008 | Customer Dispute | Denied | $38,544.00 | $0.00 | See FINRA Report |