Search for: "RBC Capital Markets, LLC"
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2 May 2024, 12:35 pm
The White Law Group reviews the regulatory history of RBC Capital Markets. [read post]
1 Dec 2023, 8:06 am
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
9 Nov 2023, 6:29 am
Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. [read post]
25 Oct 2023, 12:49 pm
PRIMEX Adam Ezrilov LPL Financial LLC RBC Capital Markets, LLC Samuel Girgiss Spartan Capital Securities, LLC Worden Capital Management LLC Dennis Hanrahan Spartan Capital Securities, LLC John Thomas Financial Timothy Henry Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC… [read post]
19 Jun 2023, 2:05 pm
Vestax Securities Corporation Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
5 May 2023, 9:15 am
Somboun Thao Pruco Securities, LLC MML Investors Services, LLC Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
5 May 2023, 7:48 am
According to FINRA Disciplinary actions for April 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christine Bourdelais NYLife Securities LLC Thomas Buck RBC Capital Markets, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Narongdej Jaroensabphayanont Voya Financial… [read post]
17 Apr 2023, 9:52 am
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has censured and fined RBC Capital Markets LLC $300,000 for supervisory issues. [read post]
28 Feb 2023, 6:46 am
J.P Turner & Company, LLC Mark Miranda Spartan Capital Securities, LLVC Network 1 Financial Securities Inc Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
30 Dec 2022, 7:37 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
21 Dec 2022, 5:45 pm
On behalf of a 78 year-old retiree, we filed a FINRA arbitration investment fraud claim to recover $750,000 in losses against RBC Capital Markets LLC (RBC). [read post]
1 Dec 2022, 7:23 am
David Weigel Weigel Fiduciary Aset Management LLC RBC Capital Markets, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
11 Nov 2022, 9:07 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
18 Jul 2022, 2:37 pm
In RBC Capital Markets, LLC v. [read post]
27 Apr 2022, 9:22 am
His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. [read post]
27 Apr 2022, 7:20 am
(CRD#:124583) and Financial Advisers Of America, LLC (CRD#:142170), both of Folsom, CA, and RBC Capital Markets, LLC (CRD#:31194), also of El Dorado Hills. [read post]
17 Mar 2022, 12:08 pm
Paul Koch was reportedly affiliated with the following firms during his career, among others, according to FINRA: 10/26/2018 – 02/04/2022, RBC CAPITAL MARKETS, LLC (CRD#:31194), Wayzata, MN, 01/28/2009 – 11/07/2018, UBS FINANCIAL SERVICES INC. [read post]
17 Sep 2021, 11:23 am
The post RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal Bonds appeared first on The White Law Group. [read post]
17 Sep 2021, 6:05 am
The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to pay more than $800,000 to resolve charges that it engaged in unfair dealing in municipal bond offerings. [read post]
21 May 2021, 3:23 am
" Today's BrokeAndBroker.com Blog features just such an item in the form of two associated persons suing their former employer, RBC Capital Markets, LLC, and another RBC employee. [read post]
