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 |
|---|---|---|---|---|---|---|---|---|
| Daurys Miguel Gonell | 7404389 | 1 | 12/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Anthony Dalgetty | 2571040 | 2 | 04/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Anthony Dalgetty | 2571040 | 2 | 04/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deborah Vituscka Monahan | 2399714 | 1 | 08/26/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Bryan Williams | 2929589 | 1 | 07/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lauren Jenae Valdes | 5841383 | 4 | 09/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lauren Jenae Valdes | 5841383 | 4 | 06/29/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lauren Jenae Valdes | 5841383 | 4 | 12/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Cundall | 4909204 | 1 | 10/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick James Grady | 1304061 | 4 | 09/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |