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 |
|---|---|---|---|---|---|---|---|---|
| Gary Robert Bubalo | 832814 | 3 | 01/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Robert Bubalo | 832814 | 3 | 01/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Perry Stephen Fong | 1263992 | 7 | 11/20/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Anthony Andrews | 2167803 | 1 | 11/18/1997 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Dennis Joseph Fitzgerald | 208979 | 2 | 10/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Gray Schipper | 2291548 | 2 | 09/02/1997 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |