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 Joseph Condron | 2266306 | 1 | 05/16/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Scott Kay | 2584243 | 2 | 03/18/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vicki Lynn Johnson | 1995683 | 1 | 12/15/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Davis B Monaghan | 6527235 | 1 | 05/01/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Adam Strulson | 2677763 | 4 | 04/29/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Michael Andreach | 2491323 | 2 | 03/05/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Stradling Ballantyne | 860984 | 2 | 09/29/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Francisco Acosta | 3230538 | 1 | 04/07/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Richard Snyder | 2439777 | 3 | 01/29/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Laster | 832466 | 2 | 11/09/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |