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 |
|---|---|---|---|---|---|---|---|---|
| William Randall Moening | 3029155 | 2 | 12/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 10/19/2022 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 10/19/2022 | Customer Dispute | Settled | $112,594.00 | $0.00 | See FINRA Report |
| Bruce A Sandry | 1642334 | 1 | 09/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 07/19/2022 | Customer Dispute | Settled | $460,000.00 | $0.00 | See FINRA Report |
| Olga O Kapitskaya | 2587114 | 1 | 07/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| 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 |
| Thomas Joseph Renzi | 1923679 | 3 | 02/23/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 02/22/2022 | Customer Dispute | Settled | $866,303.00 | $0.00 | See FINRA Report |