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 |
|---|---|---|---|---|---|---|---|---|
| Jimmy J Galindo | 2922619 | 4 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Howard Parkhurst | 5202789 | 3 | 11/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Ijong Chu | 4546805 | 10 | 11/06/2020 | Customer Dispute | Settled | $367,452.00 | $0.00 | See FINRA Report |
| Christopher Lawrence Phillips | 4761544 | 2 | 11/06/2020 | Customer Dispute | Settled | $367,452.00 | $0.00 | See FINRA Report |
| Nicholas Thomas Webster | 4692858 | 1 | 11/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Harris | 7464855 | 1 | 10/27/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 10/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Graham Dylan Okelly | 4437544 | 1 | 09/22/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 09/22/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mikaela Sue Lelonek | 7724743 | 4 | 09/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |