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 |
|---|---|---|---|---|---|---|---|---|
| Caroline Hansen | 732923 | 3 | 12/22/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Francis Radtke | 1006217 | 1 | 03/06/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Timothy Castaneda | 855183 | 2 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elliott Mitchell Hollub | 248855 | 3 | 04/14/1964 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elliott Mitchell Hollub | 248855 | 3 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Carl Lambert | 710139 | 1 | 11/30/-0001 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| William Walton Brown | 33188 | 4 | 11/30/-0001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |