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 |
|---|---|---|---|---|---|---|---|---|
| Theresa Allen | 2183693 | 6 | 08/25/2023 | Customer Dispute | Pending | $691,000.00 | $0.00 | See FINRA Report |
| Darryl Humphreys | 5205105 | 1 | 03/03/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 10/14/2022 | Customer Dispute | Pending | $24,000,000.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 10/14/2022 | Customer Dispute | Pending | $10,000,000.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 09/16/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| Eleanor Margia Currie-Harris | 3139152 | 1 | 12/08/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Jonathan Kravitz | 2148116 | 4 | 05/01/2000 | Customer Dispute | Pending | $112,353.00 | $0.00 | See FINRA Report |
| Richard Ernest Dichiaro | 67219 | 2 | 04/06/1999 | Customer Dispute | Pending | $12,187.50 | $0.00 | See FINRA Report |
| Christopher Byron Shafer | 1282180 | 2 | 07/30/1990 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |