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 |
|---|---|---|---|---|---|---|---|---|
| Randal Gary Cox | 2229939 | 1 | 11/01/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Smith | 2916617 | 2 | 10/22/2002 | Customer Dispute | Denied | $6,892.98 | $0.00 | See FINRA Report |
| Earl David Walter | 704077 | 7 | 10/10/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Patrick Coleman McCarthy | 2087016 | 2 | 10/08/2002 | Customer Dispute | Denied | $6,025.00 | $0.00 | See FINRA Report |
| John Gerald Marino | 2124615 | 1 | 09/19/2002 | Customer Dispute | Denied | $12,306.00 | $0.00 | See FINRA Report |
| John Raymond Hershey | 1413783 | 2 | 08/22/2002 | Customer Dispute | Denied | $6,258.57 | $0.00 | See FINRA Report |
| Mark Richard Snyder | 2439777 | 3 | 08/15/2002 | Customer Dispute | Denied | $8,287.00 | $0.00 | See FINRA Report |
| Stuart Thomas Reilly | 1514425 | 1 | 08/07/2002 | Customer Dispute | Denied | $114,000.00 | $0.00 | See FINRA Report |
| John Patrick Walsh | 2358189 | 4 | 07/30/2002 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Stuart Anthony Bristow | 1402958 | 3 | 07/29/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |