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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Frank Swatta | 1087775 | 1 | 01/21/2020 | Customer Dispute | Withdrawn | $20,160.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 09/23/2019 | Customer Dispute | Withdrawn | $87,000.00 | $0.00 | See FINRA Report |
| Philip Duane Tom | 1110768 | 1 | 06/13/2018 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Sanjay Mathur | 1144243 | 6 | 08/03/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Allen Poulin | 2008669 | 1 | 07/08/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Richard Raymond Schnier | 1713158 | 1 | 02/26/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Octavio Spinar | 2789529 | 2 | 11/22/2006 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Scott Andrew Befort | 1077883 | 1 | 04/27/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kenneth Paul Cerruto | 862984 | 4 | 04/25/2005 | Customer Dispute | Withdrawn | $175,000.00 | $0.00 | See FINRA Report |
| Harold Donald Losey | 1025176 | 2 | 12/19/2003 | Customer Dispute | Withdrawn | $385,000.00 | $0.00 | See FINRA Report |