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 |
|---|---|---|---|---|---|---|---|---|
| George Alan Riemer | 1004632 | 3 | 06/08/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Raymond Callot | 2234131 | 3 | 04/26/2006 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| James Franklyn Vandewalle | 845901 | 1 | 03/27/2006 | Customer Dispute | Denied | $60,186.60 | $0.00 | See FINRA Report |
| Mark Wayne Bailey | 1345299 | 8 | 12/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Renzi | 1923679 | 3 | 11/16/2005 | Customer Dispute | Denied | $215,000.00 | $0.00 | See FINRA Report |
| Michael Pair Gee | 1456136 | 2 | 08/03/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julie Ann Schmiel | 1838678 | 1 | 07/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Clarence Wheeler | 1685007 | 1 | 06/02/2005 | Customer Dispute | Denied | $18,510.00 | $0.00 | See FINRA Report |
| James Scott Robinson | 1467247 | 2 | 05/26/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Constantine Kallenekos | 2652407 | 1 | 05/17/2005 | Customer Dispute | Denied | $11,875.00 | $0.00 | See FINRA Report |