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 |
|---|---|---|---|---|---|---|---|---|
| Paul Allan Beck | 1630821 | 1 | 02/28/2003 | Customer Dispute | Denied | $86,000.00 | $0.00 | See FINRA Report |
| Joseph Scott Kay | 2584243 | 2 | 02/03/2003 | Customer Dispute | Denied | $197,872.00 | $0.00 | See FINRA Report |
| Todd Michael Wiedenfeld | 2206454 | 3 | 01/08/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| John Paul Robbie | 2254277 | 1 | 01/06/2003 | Customer Dispute | Denied | $553,480.00 | $0.00 | See FINRA Report |
| James J Senderling | 2095097 | 2 | 01/06/2003 | Customer Dispute | Denied | $553,480.00 | $0.00 | See FINRA Report |
| Shawn Bransby Oreilly | 2208596 | 1 | 12/30/2002 | Customer Dispute | Denied | $27,866.00 | $0.00 | See FINRA Report |
| William Ross Allford | 1766608 | 2 | 12/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Christopher Teague | 2325829 | 5 | 11/10/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Lynn Chapman | 2172414 | 1 | 11/05/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Gregory Charles Glosser | 1280880 | 3 | 11/04/2002 | Customer Dispute | Denied | $272,055.00 | $0.00 | See FINRA Report |