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 |
|---|---|---|---|---|---|---|---|---|
| Michael Jay Weinstein | 1037475 | 2 | 06/17/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter J MacK | 857543 | 3 | 05/15/1991 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Richard Frederick Barrington | 1220640 | 2 | 11/29/1989 | Customer Dispute | Settled | $596,259.00 | $0.00 | See FINRA Report |
| Stephen David Leightman | 841943 | 1 | 09/01/1988 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Douglas Andrew Sharon | 728393 | 4 | 12/01/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward James Schuller | 848424 | 2 | 07/10/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Stephen Pawlak | 1245568 | 3 | 12/18/1986 | Customer Dispute | Settled | $127,454.00 | $0.00 | See FINRA Report |
| Brian James Kerwin | 717192 | 1 | 10/18/1984 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| John Arthur Kuhlman, Jr | 859650 | 3 | 05/01/1982 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Steven E Spiesberger | 856203 | 1 | 09/01/1981 | Customer Dispute | Settled | $312,381.00 | $0.00 | See FINRA Report |