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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Dicarlo | 1395965 | 1 | 04/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph George Lambrecht | 1156051 | 3 | 03/23/2005 | Customer Dispute | Denied | $72,964.50 | $0.00 | See FINRA Report |
| Geoffrey William Lamb | 2845947 | 2 | 03/22/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Terry Duonne Lee | 1521865 | 4 | 02/15/2005 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Steven Jay Franco | 1389588 | 2 | 01/31/2005 | Customer Dispute | Denied | $92,000.00 | $0.00 | See FINRA Report |
| Michael Jonathan Kravitz | 2148116 | 4 | 01/19/2005 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Pamela Ann Pasterick | 2802199 | 2 | 09/07/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terry Alan Sherman | 1445803 | 5 | 09/02/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Kenneth Berman | 732765 | 3 | 08/31/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Douglas Letourneau | 2612725 | 4 | 08/13/2004 | Customer Dispute | Denied | $13,153.00 | $0.00 | See FINRA Report |