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 |
|---|---|---|---|---|---|---|---|---|
| Carol Ann Goetsch | 1528051 | 1 | 12/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Louis Durando | 1564411 | 1 | 09/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert David Cummings | 4361409 | 1 | 05/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Grover Matthew Loftin | 7295595 | 1 | 02/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Walton Brown | 33188 | 4 | 12/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christine Marie Drone | 4647139 | 1 | 03/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Guy Vincent Palmeri | 2085137 | 1 | 11/15/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Conor O'Brien | 4712278 | 1 | 10/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Edward Link | 1763815 | 3 | 05/31/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Bivona | 727964 | 2 | 06/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |