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 |
|---|---|---|---|---|---|---|---|---|
| Steven Robert Karmelin | 2866387 | 3 | 11/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Ray Pochter | 2516968 | 1 | 09/17/2014 | Customer Dispute | Denied | $35,600.00 | $0.00 | See FINRA Report |
| Marc Robert Coopersmith | 1545399 | 1 | 07/24/2014 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Terry Duonne Lee | 1521865 | 4 | 06/04/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Wilson Pfeifle | 2148141 | 1 | 03/20/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrea Savva | 3031299 | 2 | 03/19/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Caroline Hansen | 732923 | 3 | 03/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anna Marie Highter | 2403242 | 1 | 02/18/2014 | Customer Dispute | Denied | $404,400.00 | $0.00 | See FINRA Report |
| Christopher Robin Ellis | 2590319 | 2 | 12/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald John Cussen | 1742721 | 1 | 12/09/2013 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |