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 |
|---|---|---|---|---|---|---|---|---|
| Jane Rizzi Stromwall | 3155817 | 3 | 06/23/2008 | Customer Dispute | Denied | $13,800.00 | $0.00 | See FINRA Report |
| Brian Amster | 4642943 | 1 | 06/11/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Jonathan Kravitz | 2148116 | 4 | 06/11/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Owen | 2350652 | 3 | 06/02/2008 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| Robert J Dunbar | 1172166 | 1 | 05/23/2008 | Customer Dispute | Denied | $24,353.00 | $0.00 | See FINRA Report |
| Matthew D Kutner | 4508269 | 2 | 05/21/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 05/05/2008 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Ellen Ford Krider | 1873530 | 4 | 05/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lora Michelle Bloom | 1980190 | 1 | 04/17/2008 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Andrea Savva | 3031299 | 2 | 03/04/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |