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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Albert Jacobs | 2443589 | 1 | 05/17/2004 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Alexander Chris Possis | 2004155 | 1 | 04/19/2004 | Customer Dispute | Denied | $26,829.00 | $0.00 | See FINRA Report |
| Ryan John Souligny | 4330617 | 5 | 04/08/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Victor Vardell Oelsen | 1241484 | 2 | 04/04/2004 | Customer Dispute | Denied | $93,000.00 | $0.00 | See FINRA Report |
| Robert Brian Cordiak | 1521795 | 2 | 04/01/2004 | Customer Dispute | Denied | $18,400.00 | $0.00 | See FINRA Report |
| Terry Duonne Lee | 1521865 | 4 | 03/29/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Gray Schipper | 2291548 | 2 | 03/19/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Mark Steven Boshoven | 1458187 | 1 | 02/17/2004 | Customer Dispute | Denied | $8,322.00 | $0.00 | See FINRA Report |
| Paul Phillip Hipsky | 2258496 | 2 | 02/06/2004 | Customer Dispute | Denied | $128,584.00 | $0.00 | See FINRA Report |
| Earl David Walter | 704077 | 7 | 02/05/2004 | Customer Dispute | Denied | $242,930.00 | $0.00 | See FINRA Report |