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 |
|---|---|---|---|---|---|---|---|---|
| Leslie Ann Lauer | 2941432 | 2 | 01/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jimmy J Galindo | 2922619 | 4 | 01/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Montalto | 711603 | 4 | 12/26/2023 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Nicole Paige Bailey | 7016719 | 1 | 12/15/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gene Tulley West | 1569050 | 2 | 12/15/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Justin Howard Parkhurst | 5202789 | 3 | 12/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Randall Moening | 3029155 | 2 | 12/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zachariah Daniel Ingalls | 5060440 | 3 | 10/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Ruccio | 5463783 | 1 | 10/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Zachariah Daniel Ingalls | 5060440 | 3 | 09/29/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |