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 |
|---|---|---|---|---|---|---|---|---|
| Mary Elizabeth Dale | 716099 | 4 | 10/02/2015 | Customer Dispute | Denied | $263,700.00 | $0.00 | See FINRA Report |
| Bradley Jay J Blum | 5039181 | 1 | 09/21/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory William Leisey | 2253692 | 1 | 06/01/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony James Mazzo | 2385020 | 7 | 05/12/2015 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| David Jonathan Miller | 2434598 | 5 | 05/12/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Mayo | 2424365 | 1 | 04/18/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Joseph Fitzgerald | 208979 | 2 | 03/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darren Amerkanian | 2224332 | 7 | 01/21/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul John Pallo | 1068684 | 5 | 01/20/2015 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Eric James Stephen | 1852575 | 3 | 12/18/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |