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 |
|---|---|---|---|---|---|---|---|---|
| Philip Merle Seline | 1751843 | 2 | 07/23/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John W Shamlian | 1031773 | 3 | 07/13/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Barry Reback | 735463 | 4 | 06/29/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mark Wayne Bailey | 1345299 | 8 | 06/15/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Christopher Teague | 2325829 | 5 | 06/04/2004 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Francis Richard Courtney | 1276386 | 2 | 06/01/2004 | Customer Dispute | Denied | $13,540,300.00 | $0.00 | See FINRA Report |
| Eric James Stephen | 1852575 | 3 | 05/27/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Paul Wyman | 2119011 | 1 | 05/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Peter Micera | 1255342 | 2 | 05/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Lee Reser | 1388704 | 5 | 05/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |