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 Lawrence Phillips | 4761544 | 2 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |
| Christopher Lee Yingling | 2402303 | 2 | 01/25/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Charles Heide | 2112032 | 1 | 08/24/2020 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| David W Roth | 5472009 | 1 | 07/15/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Nathan Schultz | 1769129 | 2 | 07/14/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Katherine Stcharles Clark | 856235 | 5 | 06/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Reilley Herf | 2978220 | 1 | 05/14/2020 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Kendall Ray Pfutzenreuter | 3053830 | 1 | 04/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Lansat | 1623241 | 3 | 04/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heather Leigh Hardee | 5435385 | 1 | 03/30/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |