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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Farley Lane | 2217533 | 1 | 02/03/2020 | Customer Dispute | Denied | $62,000.00 | $0.00 | See FINRA Report |
| Christopher M Olson | 4278682 | 2 | 02/03/2020 | Customer Dispute | Denied | $62,000.00 | $0.00 | See FINRA Report |
| Christopher Frank Swatta | 1087775 | 1 | 01/21/2020 | Customer Dispute | Withdrawn | $20,160.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 12/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven A Gordon | 1112019 | 1 | 12/17/2019 | Customer Dispute | Award / Judgment | $1,200.00 | $1,275.00 | See FINRA Report |
| Ken Eugene Kilmer | 4078612 | 1 | 10/15/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 09/23/2019 | Customer Dispute | Withdrawn | $87,000.00 | $0.00 | See FINRA Report |
| Remo Romano Di Re | 2553807 | 1 | 09/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brendan Campbell Poole | 5800429 | 1 | 09/19/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Kevin Williams | 2285960 | 1 | 09/18/2019 | Customer Dispute | Denied | $25,651.00 | $0.00 | See FINRA Report |