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 |
|---|---|---|---|---|---|---|---|---|
| Clifton Santikul | 2244638 | 2 | 07/17/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Frey | 3151952 | 1 | 07/12/2001 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kevin Henry MacIntyre | 2577422 | 2 | 07/09/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Sangerman | 1217549 | 4 | 07/07/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Ryan Dennis Naatjes | 3238305 | 1 | 06/13/2001 | Customer Dispute | Denied | $6,234.00 | $0.00 | See FINRA Report |
| Samuel Bennett Martello | 1566769 | 2 | 05/25/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Zielinski | 1559554 | 4 | 05/18/2001 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Scott Royal Johnson | 1418644 | 1 | 05/03/2001 | Customer Dispute | Denied | $9,352.00 | $0.00 | See FINRA Report |
| David Joseph Mozeleski | 2182636 | 3 | 04/24/2001 | Customer Dispute | Denied | $63,466.00 | $0.00 | See FINRA Report |
| Paul Alfred Tropea | 2611764 | 1 | 03/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |