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 William Cormier | 5918628 | 1 | 06/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sally Ann Kirkpatrick | 2373579 | 1 | 05/13/2019 | Customer Dispute | Settled | $20,750.90 | $0.00 | See FINRA Report |
| Michael Scott Fulton | 1486412 | 1 | 12/27/2018 | Customer Dispute | Settled | $10,962.00 | $0.00 | See FINRA Report |
| Jaime M Sahlstrom | 4722007 | 2 | 12/27/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Joseph Hare | 2194612 | 3 | 12/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Angelo Morabito | 4651112 | 1 | 11/27/2018 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Timothy McEwen | 4648341 | 1 | 10/25/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Joseph Birkhauser | 864365 | 2 | 08/27/2018 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Irwin Maisner | 1094089 | 1 | 07/16/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Michael Brian Kemp | 2409599 | 4 | 06/22/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |