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 Brian Kemp | 2409599 | 4 | 05/11/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward Anderson Griswold | 1854095 | 6 | 01/03/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Zielinski | 1559554 | 4 | 09/30/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Scott Friedman | 2185955 | 2 | 08/24/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Pius Holohan | 1075568 | 1 | 07/16/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Robert Bubalo | 832814 | 3 | 05/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony James Mazzo | 2385020 | 7 | 12/23/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kyle Mitchell McLaughlin | 2614967 | 2 | 04/14/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark William Otta | 2590012 | 2 | 03/09/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ken Anthony Carter | 1351802 | 1 | 02/26/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |