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 |
|---|---|---|---|---|---|---|---|---|
| William Randall Moening | 3029155 | 2 | 12/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Johnson Howard | 2198403 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Megan Kirsten Howard | 6530905 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tate Heritage Wingate | 2830666 | 1 | 01/19/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Barry Clemens | 860935 | 3 | 09/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew J Gherity | 6082751 | 1 | 06/27/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Magnus Zsolt Du Borg | 5624058 | 2 | 06/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clifton Santikul | 2244638 | 2 | 06/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jimmy J Galindo | 2922619 | 4 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Howard Parkhurst | 5202789 | 3 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |