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 |
|---|---|---|---|---|---|---|---|---|
| Michael Starr | 1863320 | 3 | 02/22/1999 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Michael Rogers | 1133693 | 1 | 02/03/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 01/19/1999 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| James Donald Weil | 1844925 | 1 | 12/28/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Brandt Haring | 1806841 | 1 | 11/18/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gordon Richard Nearing | 869371 | 1 | 11/13/1998 | Customer Dispute | Denied | $5,720.88 | $0.00 | See FINRA Report |
| Paul Anthony Keats | 811355 | 1 | 07/27/1998 | Customer Dispute | Denied | $15,626.00 | $0.00 | See FINRA Report |
| Marvin Dean Gilliland | 221887 | 2 | 07/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Walter Pendergast | 1388526 | 1 | 05/04/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norman Charles Schaffer | 1366975 | 1 | 04/30/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |