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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Morris | 872936 | 1 | 01/07/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Walter J MacK | 857543 | 3 | 10/21/1993 | Customer Dispute | Settled | $9,722.00 | $0.00 | See FINRA Report |
| Robert Jeffrey Clawson | 1602864 | 1 | 08/02/1993 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Pellitteri | 359552 | 1 | 07/12/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Bernard Moran | 1232727 | 1 | 06/28/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gregory Charles Glosser | 1280880 | 3 | 04/22/1993 | Customer Dispute | Settled | $118,564.00 | $0.00 | See FINRA Report |
| David Jack Klein | 703606 | 1 | 02/16/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter J MacK | 857543 | 3 | 09/17/1992 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Henry Bain Gill | 1301662 | 1 | 08/04/1992 | Customer Dispute | Settled | $23,485.00 | $0.00 | See FINRA Report |
| Perry Stephen Fong | 1263992 | 7 | 01/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |