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 |
|---|---|---|---|---|---|---|---|---|
| Michael C Nolan | 1082281 | 2 | 09/20/2022 | 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 | |
| Magnus Zsolt Du Borg | 5624058 | 1 | 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 | |
| Justin Howard Parkhurst | 5202789 | 1 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jimmy J Galindo | 2922619 | 2 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lisa Lerum | 3148737 | 1 | 06/01/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terri Lynn Trocke | 2045072 | 1 | 03/24/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Galina Kolossovsky | 4389205 | 2 | 02/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Troy David Wheat | 2742890 | 1 | 03/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |