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 |
|---|---|---|---|---|---|---|---|---|
| Tammy Louise Higgins | 4871138 | 2 | 06/27/2022 | Customer Dispute | Settled | $29,814.00 | $0.00 | See FINRA Report |
| Tammy Louise Higgins | 4871138 | 2 | 06/27/2022 | Customer Dispute | Settled | $58,609.20 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 06/22/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| James J Senderling | 2095097 | 2 | 02/17/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Robert Wick | 1194270 | 1 | 02/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Timothy Dudzik | 1133671 | 4 | 11/27/2020 | Customer Dispute | Settled | $10,000,000.00 | $0.00 | See FINRA Report |
| Christopher Lawrence Phillips | 4761544 | 2 | 11/06/2020 | Customer Dispute | Settled | $367,452.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 11/06/2020 | Customer Dispute | Settled | $367,452.00 | $0.00 | See FINRA Report |
| Nicholas Thomas Webster | 4692858 | 1 | 11/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn August Pahnke | 1803352 | 3 | 11/01/2020 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |