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 |
|---|---|---|---|---|---|---|---|---|
| Paul Thomas Hert | 1563250 | 1 | 05/05/2003 | Customer Dispute | Withdrawn | $80,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Brockley | 1449622 | 1 | 03/15/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Mark Wayne Bailey | 1345299 | 8 | 01/07/2003 | Customer Dispute | Withdrawn | $22,700.00 | $0.00 | See FINRA Report |
| Mary Elizabeth Dale | 716099 | 4 | 04/01/2002 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Scott Ronald Giltinan | 2931197 | 1 | 04/27/2001 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Alan Drake | 1006976 | 1 | 02/11/2000 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Curt Byron Allen | 1659391 | 6 | 10/15/1998 | Customer Dispute | Withdrawn | $6,000.00 | $0.00 | See FINRA Report |