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 |
|---|---|---|---|---|---|---|---|---|
| Scott Andrew Ceniccola | 2230926 | 2 | 07/29/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| John Patrick Walsh | 2358189 | 4 | 07/29/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth William Ferrarini | 206539 | 2 | 07/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Edwin Cates | 858426 | 2 | 07/25/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McFarlin | 2205134 | 2 | 07/16/2002 | Customer Dispute | Denied | $20,300.00 | $0.00 | See FINRA Report |
| David Jonathan Miller | 2434598 | 5 | 07/10/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Stuart Anthony Bristow | 1402958 | 3 | 06/25/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gina Ricci Moore | 1323761 | 1 | 06/13/2002 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Anthony Edward Cristiano | 1912335 | 2 | 06/05/2002 | Customer Dispute | Denied | $154,494.00 | $0.00 | See FINRA Report |
| John Harper Garlock | 720671 | 1 | 06/05/2002 | Customer Dispute | Denied | $81,917.80 | $0.00 | See FINRA Report |