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 |
|---|---|---|---|---|---|---|---|---|
| Paul Joseph Lupo | 2202274 | 2 | 01/05/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Antony Corrigan | 4210689 | 1 | 03/01/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Charles Ofarrell | 1302300 | 6 | 01/02/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Barry Reback | 735463 | 4 | 07/09/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Harris Kreger | 1877148 | 1 | 03/23/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Barclay Smith | 2137295 | 1 | 03/07/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Curt Byron Allen | 1659391 | 6 | 10/31/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward James Schuller | 848424 | 2 | 09/14/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Thomas Metcalf | 1107415 | 1 | 02/27/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Anthony Bruno | 1419415 | 1 | 12/24/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |