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 |
|---|---|---|---|---|---|---|---|---|
| Richard Anthony Dalgetty | 2571040 | 2 | 04/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dave Lorrington Edwards | 5349833 | 1 | 04/10/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd David Ellis | 2202633 | 4 | 03/07/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Renzi | 1923679 | 3 | 02/23/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 02/22/2022 | Customer Dispute | Pending | $866,303.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 02/07/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 01/12/2022 | Customer Dispute | Pending | $1,102,630.00 | $0.00 | See FINRA Report |
| Patrick M Cummings | 4858761 | 1 | 12/24/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carol Ann Goetsch | 1528051 | 1 | 12/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephenson Gragg | 2124953 | 2 | 10/14/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |