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 |
|---|---|---|---|---|---|---|---|---|
| Byron Neal Fox | 2835680 | 2 | 01/24/2002 | Customer Dispute | Denied | $213,439.00 | $0.00 | See FINRA Report |
| Cynthia Lou Penner | 1768160 | 2 | 01/24/2002 | Customer Dispute | Denied | $213,439.00 | $0.00 | See FINRA Report |
| Danny J Viola | 1459036 | 3 | 01/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Clifford Hayes | 1449363 | 1 | 11/26/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| James Stuart Okun | 2699169 | 2 | 11/08/2001 | Customer Dispute | Denied | $38,400.00 | $0.00 | See FINRA Report |
| Michael John Chenchar | 868058 | 1 | 11/06/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Nadler | 1091917 | 1 | 10/25/2001 | Customer Dispute | Denied | $165,000.00 | $0.00 | See FINRA Report |
| Dean Andrew Bahniuk | 2418525 | 3 | 10/24/2001 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Rodney William Tucker | 2924901 | 1 | 10/22/2001 | Customer Dispute | Denied | $304,379.00 | $0.00 | See FINRA Report |
| Laurie Ann McNally | 1617664 | 1 | 10/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |