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 |
|---|---|---|---|---|---|---|---|---|
| Russell Samuel Sherred | 829137 | 2 | 02/04/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Oneil | 2169205 | 2 | 01/07/2004 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| David Joseph Mozeleski | 2182636 | 3 | 10/31/2003 | Customer Dispute | Denied | $233,554.00 | $0.00 | See FINRA Report |
| Anthony Christian Connor | 2481513 | 2 | 09/25/2003 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| John Patrick Walsh | 2358189 | 4 | 09/08/2003 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Anthony James Mazzo | 2385020 | 7 | 09/05/2003 | Customer Dispute | Denied | $6,378.00 | $0.00 | See FINRA Report |
| Suzanne Cline Boyd-Chapman | 1238795 | 2 | 09/02/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Raymon Nathanson | 2201377 | 1 | 08/25/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Graziani | 2580008 | 2 | 08/12/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Brian Kemp | 2409599 | 4 | 07/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |