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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Susan Eckert | 2994055 | 1 | 05/29/2002 | Customer Dispute | Denied | $136,598.00 | $0.00 | See FINRA Report |
| Stephenson Gragg | 2124953 | 1 | 05/20/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Cannon | 1982125 | 1 | 05/09/2002 | Customer Dispute | Denied | $105,000.00 | $0.00 | See FINRA Report |
| David Babbitt | 2202113 | 2 | 05/02/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Paul Odonnell | 2121456 | 2 | 04/22/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Scott Larner | 2554145 | 1 | 04/01/2002 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Michael Arthur Dower | 71220 | 2 | 03/26/2002 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Jay Michael Loch | 2271759 | 1 | 02/25/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Joseph Samuel Mooney | 338656 | 2 | 02/12/2002 | Customer Dispute | Denied | $900,000.00 | $0.00 | See FINRA Report |
| John Langdon Brown | 1276235 | 1 | 02/05/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |