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 |
|---|---|---|---|---|---|---|---|---|
| Samuel M Difiore | 2818474 | 2 | 03/13/2001 | Customer Dispute | Denied | $26,183.00 | $0.00 | See FINRA Report |
| Paul G Giglio | 1656237 | 1 | 03/13/2001 | Customer Dispute | Denied | $26,183.00 | $0.00 | See FINRA Report |
| Eric Daniel Stmartin | 2862656 | 2 | 01/10/2001 | Customer Dispute | Denied | $5,606.00 | $0.00 | See FINRA Report |
| Larry Michael Heuple | 2236612 | 1 | 10/11/2000 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Terry Alan Sherman | 1445803 | 5 | 10/02/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth William Ferrarini | 206539 | 2 | 09/18/2000 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Ellen Ford Krider | 1873530 | 4 | 08/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dana Lynn Falco | 3175759 | 1 | 08/03/2000 | Customer Dispute | Denied | $11,177.00 | $0.00 | See FINRA Report |
| Steven Carl Runnion | 2694097 | 1 | 07/26/2000 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Kenneth Lee Watson | 1931875 | 1 | 07/24/2000 | Customer Dispute | Denied | $14,312.40 | $0.00 | See FINRA Report |