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 |
|---|---|---|---|---|---|---|---|---|
| Bruce A Sandry | 1642334 | 1 | 09/16/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 4 | 09/16/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| John Barry Clemens | 860935 | 3 | 09/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cash Alan Freeman | 6374508 | 1 | 08/31/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Katherine Antonia Simmonds | 4757039 | 1 | 08/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 07/19/2022 | Customer Dispute | Pending | $460,000.00 | $0.00 | See FINRA Report |
| Olga O Kapitskaya | 2587114 | 1 | 07/05/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Tammy Louise Higgins | 4871138 | 2 | 06/27/2022 | Customer Dispute | Settled | $29,814.00 | $0.00 | See FINRA Report |
| Tammy Louise Higgins | 4871138 | 2 | 06/27/2022 | Customer Dispute | Settled | $58,609.20 | $0.00 | See FINRA Report |
| Richard Anthony Dalgetty | 2571040 | 2 | 04/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |