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 |
|---|---|---|---|---|---|---|---|---|
| Eric Paul Schulze | 2648340 | 4 | 09/17/2019 | Customer Dispute | Denied | $189,590.00 | $0.00 | See FINRA Report |
| Patrick James Grady | 1304061 | 4 | 09/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sanjay Mathur | 1144243 | 6 | 09/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Meizoso | 1419544 | 1 | 08/29/2019 | Customer Dispute | Settled | $131,064.00 | $0.00 | See FINRA Report |
| Ronald Brian Click | 1609172 | 1 | 08/05/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Theodore John Crowley | 1453864 | 2 | 07/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James L Weinstock | 732928 | 1 | 07/05/2019 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Michael William Cormier | 5918628 | 1 | 06/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Echaus Calayag | 1454604 | 8 | 06/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Echaus Calayag | 1454604 | 8 | 06/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |