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 |
|---|---|---|---|---|---|---|---|---|
| Mark Robert Ridgway | 3156465 | 1 | 02/10/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Sean Oconnor | 2965360 | 1 | 11/25/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis Denson Oswalt | 2594951 | 1 | 10/20/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Chisholm | 2995302 | 1 | 09/24/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eamon John Shanahan | 2749372 | 1 | 04/25/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne Marie Walsh | 2586689 | 1 | 05/31/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Lincoln Lyon | 4160409 | 1 | 04/07/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rob Thomas Kuehn | 2696713 | 1 | 03/22/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan S Griego | 4848678 | 1 | 04/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Evan Toumajian | 2524517 | 2 | 07/02/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |