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 |
|---|---|---|---|---|---|---|---|---|
| John Jay Thorn | 1380319 | 1 | 03/17/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Farley Lane | 2217533 | 1 | 02/03/2020 | Customer Dispute | Denied | $62,000.00 | $0.00 | See FINRA Report |
| Christopher M Olson | 4278682 | 2 | 02/03/2020 | Customer Dispute | Denied | $62,000.00 | $0.00 | See FINRA Report |
| John Kevin Williams | 2285960 | 1 | 09/18/2019 | Customer Dispute | Denied | $25,651.00 | $0.00 | See FINRA Report |
| Eric Paul Schulze | 2648340 | 4 | 09/17/2019 | Customer Dispute | Denied | $189,590.00 | $0.00 | See FINRA Report |
| Sanjay Mathur | 1144243 | 6 | 09/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Douglas MacDonald | 5199964 | 1 | 04/16/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy A Jensen | 1820616 | 1 | 03/19/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Thomas Bredice | 2399831 | 2 | 03/14/2019 | Customer Dispute | Denied | $40,563.30 | $0.00 | See FINRA Report |
| Joseph George Lambrecht | 1156051 | 3 | 12/21/2018 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |