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 |
|---|---|---|---|---|---|---|---|---|
| William Randall Moening | 3029155 | 2 | 12/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 11/16/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 10/19/2022 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Paul Richard Meyer | 3062534 | 4 | 10/19/2022 | Customer Dispute | Settled | $112,594.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 10/14/2022 | Customer Dispute | Pending | $24,000,000.00 | $0.00 | See FINRA Report |
| Martin A Klein | 1778613 | 5 | 10/14/2022 | Customer Dispute | Pending | $10,000,000.00 | $0.00 | See FINRA Report |
| Aaron Jonathan Dykas | 2281381 | 2 | 09/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clifford Virgin III | 1878876 | 5 | 09/16/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| Bruce A Sandry | 1642334 | 1 | 09/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Barry Clemens | 860935 | 3 | 09/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |