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 |
|---|---|---|---|---|---|---|---|---|
| Stanley Lee Crisci | 2687393 | 3 | 08/15/2024 | Customer Dispute | Pending | $90,000.00 | $0.00 | See FINRA Report |
| Magnus Zsolt Du Borg | 5624058 | 2 | 08/07/2024 | Customer Dispute | Pending | $8,855.85 | $0.00 | See FINRA Report |
| John Anthony Germain | 2706666 | 1 | 07/19/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Stanley Lee Crisci | 2687393 | 3 | 07/08/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Melanie McUmber Folstad | 2562408 | 2 | 07/01/2024 | Customer Dispute | Pending | $19,285.00 | $0.00 | See FINRA Report |
| Matthew C Haverty | 4618183 | 1 | 05/06/2024 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Theresa Allen | 2183693 | 6 | 04/11/2024 | Customer Dispute | Pending | $1,750,000.00 | $0.00 | See FINRA Report |
| John Peter Micera | 1255342 | 2 | 04/09/2024 | Customer Dispute | Pending | $2,275,000.00 | $0.00 | See FINRA Report |
| Timothy Bryan Williams | 2929589 | 2 | 03/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie Ann Lauer | 2941432 | 2 | 01/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |