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 |
|---|---|---|---|---|---|---|---|---|
| Carrie Lynne Orvik | 7020978 | 1 | 04/21/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick James Vaughan | 1066498 | 1 | 02/10/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul John Pallo | 1068684 | 5 | 11/08/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Russell Clement | 2227662 | 1 | 04/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Adam Strulson | 2677763 | 4 | 11/06/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Frederick Cramer | 4068736 | 1 | 10/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Adam Strulson | 2677763 | 4 | 02/01/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Bellew | 2554915 | 2 | 07/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Barry Reback | 735463 | 4 | 05/18/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Grubert | 2817608 | 1 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |