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 |
|---|---|---|---|---|---|---|---|---|
| Theresa Allen | 2183693 | 6 | 08/25/2023 | Customer Dispute | Pending | $691,000.00 | $0.00 | See FINRA Report |
| Theresa Allen | 2183693 | 6 | 08/11/2023 | Customer Dispute | Denied | $1,070,000.00 | $0.00 | See FINRA Report |
| Gordon Scott Wallace | 1905279 | 2 | 07/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Doege | 5752389 | 1 | 06/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elizaveta McCartney | 5092303 | 1 | 05/16/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Harrison Leddy | 6073108 | 1 | 05/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Allen | 2183693 | 6 | 04/29/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Anthony Edward Cristiano | 1912335 | 2 | 04/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gordon Scott Wallace | 1905279 | 2 | 04/11/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Joseph Kapala | 1921093 | 1 | 04/04/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |