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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Ijong Chu | 4546805 | 10 | 02/22/2022 | Customer Dispute | Settled | $866,303.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 02/07/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 01/12/2022 | Customer Dispute | Settled | $1,102,630.00 | $0.00 | See FINRA Report |
| Richard Thomas Iannacone | 254526 | 1 | 09/02/2021 | Customer Dispute | Award / Judgment | $100,000.00 | $16,415.30 | See FINRA Report |
| Deborah Vituscka Monahan | 2399714 | 1 | 08/26/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Bryan Williams | 2929589 | 2 | 07/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Ijong Chu | 4546805 | 10 | 06/22/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Magnus Zsolt Du Borg | 5624058 | 2 | 06/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clifton Santikul | 2244638 | 2 | 06/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stacy Hadnot Quiri | 5321469 | 1 | 05/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |