Search for: "RBC Capital Markets, LLC"
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14 Nov 2017, 3:37 pm
Lowi was most recently associated with RBC Capital Markets, LLC (“RBC”) (CRD# 31194) (2009-2015), and most recently, Janney Montgomery Scott LLC (“Janney Montgomery”) (CRD# 463) (2015-2016). [read post]
1 Nov 2017, 7:29 am
According to his FINRA BrokerCheck report, Buck worked briefly at RBC Capital Markets after Merrill fired him in 2015. [read post]
15 Aug 2017, 10:06 am
Blum or RBC Capital Markets, the securities attorneys of The White Law Group may be able to help you. [read post]
31 Jul 2017, 1:10 pm
If you have questions about investments you made with RBC Capital Markets LLC the securities attorneys of The White Law Group may be able to help you. [read post]
6 Apr 2017, 6:16 am
Pilosi, Respondent (AWC 2016051455601, April 5, 2017).The AWC asserts that Pilosi entered the securities industry in 1992 and from 2006 to June 2012 was registered with FINRA member firm RBC Capital Markets, LLC.; and, thereafter, with LPL Financial LLC until October 2016.$150,000 BorrowedThe AWC asserts that on four occasions between July 2009 and March 2012, Pilosi borrowed a total of $150,000 from an individua... [read post]
30 Jan 2017, 6:17 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Samuel Koltun (Koltun) currently associated with RBC Capital Markets, LLC (RBC) alleging unsuitable investments in Puerto Rico municipal bonds among other claims. [read post]
27 Dec 2016, 4:26 pm
The Court found that Plaintiffs’ citations to RBC Capital Markets, LLC v. [read post]
28 Oct 2016, 1:00 am
Overcoming Selection Bias Posted by Alexander Vedrashko, Simon Fraser University, on Sunday, October 23, 2016 Tags: Behavioral finance, Capital markets, Dividends, Earnings announcements, Earnings disclosure, Firm performance,Information environment, Market efficiency, Market reaction, Market timing, Merger announcements, Repurchases Can Business Help Fix Our Broken Politics? [read post]
19 Oct 2016, 1:02 pm
RBC Capital Markets, LLC, October 13, 2016, Nelson, S.).Risky notes. [read post]
1 Sep 2016, 9:42 am
According to reports, RBC Capital Markets LLC has agreed to pay $2.5-million for causing false and misleading disclosures in a proxy statement for the sale of ambulance company Rural/Metro Corp, the U.S. [read post]
31 Aug 2016, 8:34 am
The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation analysis in a proxy statement for Rural/Metro Corporation’s sale in 2011 to a private equity firm. [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million in… [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million in… [read post]
22 Jun 2016, 2:17 pm
See RBC Capital Markets, LLC, FINRA Arbitration 12-02576. [read post]
16 May 2016, 4:32 pm
Since July 2008 through September 2015 McGinnis has been associated with RBC Capital Markets, LLC. [read post]
14 May 2016, 6:44 am
From October 2009 until November 2015, Lowi was associated with RBC Capital Markets, LLC. [read post]
7 Mar 2016, 9:42 am
From October 2009 until November 2015 Blum was associated with RBC Capital Markets, LLC out of the firm’s West Palm Beach, Florida office locations. [read post]
11 Feb 2016, 9:00 am
Stockholders Litigation and RBC Capital Markets, LLC v. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
