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 Andrew Randolph | 4439148 | 2 | 07/25/2018 | Customer Dispute | Denied | $2,200,000.00 | $0.00 | See FINRA Report |
| Gregory Timothy Dudzik | 1133671 | 4 | 07/09/2018 | Customer Dispute | Denied | $147,000.00 | $0.00 | See FINRA Report |
| Robert Walker Kenny | 1653062 | 2 | 05/03/2018 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Paul Harper Williams | 2142551 | 1 | 05/02/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Eric Bourke | 2412223 | 3 | 04/30/2018 | Customer Dispute | Denied | $115,000.00 | $0.00 | See FINRA Report |
| Thomas Harry Eades | 704136 | 2 | 03/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Clayton Walters | 1929974 | 2 | 03/07/2018 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Justin James Fletchall | 4636321 | 1 | 01/16/2018 | Customer Dispute | Denied | $139,000.00 | $0.00 | See FINRA Report |
| Joel Lansat | 1623241 | 3 | 12/04/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Mauriello | 2192337 | 1 | 11/27/2017 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |