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 Ernest Stockum | 1509949 | 1 | 03/26/2021 | Customer Dispute | Denied | $1,222,000.00 | $0.00 | See FINRA Report |
| James J Senderling | 2095097 | 2 | 02/17/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Robert Wick | 1194270 | 1 | 02/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Stuart Okun | 2699169 | 2 | 02/08/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Fisher | 1425602 | 3 | 01/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Ijong Chu | 4546805 | 10 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |
| Christopher Lawrence Phillips | 4761544 | 2 | 01/28/2021 | Customer Dispute | Denied | $180,214.00 | $0.00 | See FINRA Report |
| Christopher Lee Yingling | 2402303 | 2 | 01/25/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Lauren Jenae Valdes | 5841383 | 4 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Timothy Dudzik | 1133671 | 4 | 11/27/2020 | Customer Dispute | Settled | $10,000,000.00 | $0.00 | See FINRA Report |