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 |
|---|---|---|---|---|---|---|---|---|
| Anthony James Mazzo | 2385020 | 7 | 01/22/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Edward Artus | 1364739 | 2 | 01/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan J Weiner | 2448454 | 3 | 11/29/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Joseph Werblow | 1739564 | 2 | 09/26/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Todd Weiland | 1533407 | 2 | 09/18/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Brent Roberts | 2850275 | 2 | 09/06/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Joseph Werblow | 1739564 | 2 | 08/08/2007 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Sean Michael Smith | 2916617 | 2 | 04/03/2007 | Customer Dispute | Denied | $12,347.80 | $0.00 | See FINRA Report |
| Jane Rizzi Stromwall | 3155817 | 3 | 02/07/2007 | Customer Dispute | Denied | $53,133.00 | $0.00 | See FINRA Report |
| George Carmelo Dominello | 1005453 | 1 | 01/16/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |