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 |
|---|---|---|---|---|---|---|---|---|
| Brendan Campbell Poole | 5800429 | 1 | 09/19/2019 | 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 | |
| Troy David Wheat | 2742890 | 1 | 03/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kathleen R Keleher | 1280356 | 2 | 10/05/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dean Andrew Bahniuk | 2418525 | 3 | 02/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Christopher Donohue | 2371626 | 1 | 12/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Walton Brown | 33188 | 4 | 04/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Hans Wells | 4219224 | 2 | 01/16/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan John Souligny | 4330617 | 5 | 01/16/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |