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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Conor O'Brien | 4712278 | 1 | 10/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Edward Link | 1763815 | 3 | 05/31/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Spottswood Gibson | 1709647 | 4 | 06/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Stephen Pawlak | 1245568 | 3 | 04/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Edward Link | 1763815 | 3 | 02/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Owen | 2350652 | 3 | 10/28/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Artus | 1364739 | 2 | 09/04/2009 | Customer Dispute | Final | $700,000.00 | $0.00 | See FINRA Report |
| Janet Marie Buswell | 1104471 | 1 | 09/04/2009 | Customer Dispute | Final | $700,000.00 | $0.00 | See FINRA Report |
| Carrie Lynne Orvik | 7020978 | 1 | 04/21/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick James Vaughan | 1066498 | 1 | 02/10/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |