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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Frances Kinsley | 1302260 | 1 | 12/09/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Zielinski | 1559554 | 4 | 11/16/1999 | Customer Dispute | Denied | $13,848.00 | $0.00 | See FINRA Report |
| Mark Valentine Dyer | 825417 | 3 | 11/10/1999 | Customer Dispute | Denied | $16,814.00 | $0.00 | See FINRA Report |
| Dean Andrew Bahniuk | 2418525 | 3 | 10/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Yingling | 2402303 | 2 | 09/15/1999 | Customer Dispute | Denied | $33,390.00 | $0.00 | See FINRA Report |
| Terry Alan Sherman | 1445803 | 5 | 08/13/1999 | Customer Dispute | Denied | $21,738.50 | $0.00 | See FINRA Report |
| Patrick Dennis Elliott | 1519411 | 2 | 06/28/1999 | Customer Dispute | Denied | $22,378.00 | $0.00 | See FINRA Report |
| John Thomas Gerold | 2357333 | 1 | 04/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Michael Foley | 1044165 | 1 | 03/22/1999 | Customer Dispute | Denied | $25,500.00 | $0.00 | See FINRA Report |
| Daniel Dioguardi | 2782706 | 1 | 03/15/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |