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 |
|---|---|---|---|---|---|---|---|---|
| David Charles Heide | 2112032 | 1 | 08/24/2020 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 08/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mikaela Sue Lelonek | 7724743 | 4 | 08/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 08/04/2020 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| David W Roth | 5472009 | 1 | 07/15/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Nathan Schultz | 1769129 | 2 | 07/14/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 07/09/2020 | Customer Dispute | Settled | $500,001.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 06/29/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katherine Stcharles Clark | 856235 | 5 | 06/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Reilley Herf | 2978220 | 1 | 05/14/2020 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |