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 |
|---|---|---|---|---|---|---|---|---|
| Mary Johnson Howard | 2198403 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Megan Kirsten Howard | 6530905 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rhys A Helt | 2447099 | 1 | 03/31/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 03/30/2023 | Customer Dispute | Denied | $63,059.10 | $0.00 | See FINRA Report |
| Otho Francis Evans | 1199304 | 1 | 03/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Eugene Theobald | 1235214 | 1 | 03/06/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darryl Humphreys | 5205105 | 1 | 03/03/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tate Heritage Wingate | 2830666 | 1 | 01/19/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jon Schulz | 5834911 | 1 | 01/17/2023 | Customer Dispute | Denied | $27,583.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 12/23/2022 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |