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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia Lou Penner | 1768160 | 2 | 10/17/2001 | Customer Dispute | Denied | $122,885.00 | $0.00 | See FINRA Report |
| Daniel Richard Fox | 1979209 | 2 | 10/15/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Laster | 832466 | 2 | 10/12/2001 | Customer Dispute | Denied | $151,000.00 | $0.00 | See FINRA Report |
| William H Pahl | 1791727 | 2 | 10/10/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 09/27/2001 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Patrick Arthur Easter | 1368137 | 1 | 09/25/2001 | Customer Dispute | Denied | $6,575.99 | $0.00 | See FINRA Report |
| Gregg Auerbach | 2169550 | 3 | 09/05/2001 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Gregg Auerbach | 2169550 | 3 | 08/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven David Lewis | 2542504 | 4 | 08/20/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Oneil | 2169205 | 2 | 08/14/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |