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 |
|---|---|---|---|---|---|---|---|---|
| Todd Devin Aldrich | 1851384 | 1 | 07/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Crenshaw | 5065164 | 1 | 03/11/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ao Vang | 6556402 | 2 | 12/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Walton Brown | 33188 | 4 | 12/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ao Vang | 6556402 | 2 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Marie Kolasa | 2449934 | 1 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Barthol Schumacher | 2950324 | 2 | 11/20/2015 | Customer Dispute | Final | $70,000.00 | $0.00 | See FINRA Report |
| Angela M Tyo | 3227732 | 1 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Tavano | 2042567 | 1 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Todd Dale | 869302 | 2 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |