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 John Pallo | 1068684 | 5 | 08/01/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Anne Byrne | 4821435 | 1 | 02/01/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Fellin Losty | 1450619 | 1 | 06/13/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Anderson Griswold | 1854095 | 6 | 05/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Anderson Griswold | 1854095 | 6 | 02/28/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Anderson Griswold | 1854095 | 6 | 11/05/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Rochelle Lusby | 1388120 | 1 | 09/02/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Perry Stephen Fong | 1263992 | 7 | 07/26/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn York Blitzer | 1224209 | 1 | 01/11/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Otta | 2590012 | 2 | 03/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |