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 |
|---|---|---|---|---|---|---|---|---|
| Amy Lynn Crenshaw | 5065164 | 1 | 03/11/2016 | 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 |
| James Spottswood Gibson | 1709647 | 4 | 06/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Stephen Pawlak | 1245568 | 3 | 04/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Edward Link | 1763815 | 3 | 02/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Owen | 2350652 | 3 | 10/28/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |