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 |
|---|---|---|---|---|---|---|---|---|
| Gordon Scott Wallace | 1905279 | 2 | 04/11/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Antonia Simmonds | 4757039 | 1 | 08/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 09/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 08/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 08/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grover Matthew Loftin | 7295595 | 1 | 02/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Analicia Grant | 7796382 | 1 | 02/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore John Crowley | 1453864 | 2 | 07/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |