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 |
|---|---|---|---|---|---|---|---|---|
| Kendall Ray Pfutzenreuter | 3053830 | 1 | 04/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Lansat | 1623241 | 3 | 04/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Benjamin Hollenberg | 2580081 | 1 | 04/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Heather Leigh Hardee | 5435385 | 1 | 03/30/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Trang Hong Tran | 6606194 | 1 | 03/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Jay Thorn | 1380319 | 1 | 03/17/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Earl David Walter | 704077 | 7 | 03/12/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Sam Bergamo | 3050595 | 1 | 02/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Grover Matthew Loftin | 7295595 | 1 | 02/12/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Analicia Grant | 7796382 | 1 | 02/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |