Search for: "RBC Capital Markets Corporation"
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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]
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]
31 Jul 2017, 1:10 pm
The post FINRA Fines RBC Capital Markets for Compliance Issues appeared first on White Securities Law. [read post]
22 Jun 2009, 7:34 pm
Related Web Resources: FINRA Fines Raymond James, RBC Capital Markets Corporation, Stock Loan Trader for Improper Stock Loan Practices, FINRA, June 17, 2009 FINRA fines Raymond James, RBC Capital Markets, Forbes, June 17, 2009 [read post]
28 Sep 2011, 2:02 pm
RBC Capital Markets LLC of New York has agreed to pay $30.4 million to settle charges that it sold unsuitable, high-risk investments to five eastern Wisconsin school districts, as well as charges that it inadequately disclosed the risks. [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]
15 Sep 2022, 6:34 am
This can aid in encouraging more enhanced cybersecurity governance and improvements for the global capital markets. [read post]
10 Mar 2014, 10:51 am
In Re Rural Metro Corporation Stockholder Litigation, C.A. [read post]
6 Nov 2017, 7:33 am
Former RBC Advisor Lisa Lowi reportedly Barred after 37 Customer Disputes Did you lose money investing with Lisa Lowi and RBC Capital Markets? [read post]
6 Feb 2008, 2:32 pm
Brokerage firms include Stifel, Nicolaus & Company, Silver Leaf Partners, UBS Investment Bank, Wunderlich Securities, RBC Dain Rauscher, Piper Jaffray, Paulson Investment Company, and Fidelity Capital Markets. [read post]
13 Apr 2013, 12:47 am
RBC itself has been the target of a number of misclassification lawsuits: RBC Capital Markets settled a Fair Labor Standards Act claim in the United States brought by securities brokers who were misclassified as professional employees.The problem in all of this is that the Human Resources and Skills Development Canada's Labour Program does not properly regulated internships much like the lack of regulatory oversight with the Temporary Foreign Workers… [read post]
28 Feb 2015, 3:52 pm
In a case of first impression, Vice Chancellor Laster issued an opinion in October 2014 holding that the Delaware Uniform Contribution Among Tortfeasors Act (“DUCATA”) did not bar RBC Capital Markets LLC from collecting a settlement credit, even though other defendants in the Rural/Metro Corp. shareholder litigation settled with plaintiffs. [read post]
19 Jun 2009, 8:44 am
On Wednesday, FINRA announced fines, and suspensions against Raymond James and RBC for their alleged participation in the process.FINRA - FINRA Fines Raymond James, RBC Capital Markets Corporation, Stock Loan Trader for Improper Stock Loan Practices [read post]
4 Dec 2015, 5:58 am
The Delaware Supreme Court has issued its much anticipated opinion in RBC Capital Markets v. [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]
4 Nov 2014, 6:15 am
Stockholders Litigation, Vice Chancellor Laster found RBC Capital Markets, LLC liable for aiding and abetting the board’s breach of fiduciary duty in connection with Rural’s 2011 sale to private equity firm Warburg Pincus for $17.25 a share, a premium of 37% over the pre-announcement market price. [read post]
21 Jun 2012, 11:01 am
The employment laws in the U.S. and Canada are quite a bit different,” Todd Schnell, vice president and senior associate general counsel at RBC Capital Markets, tells Legal Feeds. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
13 Oct 2013, 9:00 pm
RBC requires insurance companies with higher amounts of risk to retain higher amounts of capital and surplus. [read post]
31 Jan 2015, 7:39 pm
The Court of Chancery found RBC Capital Markets LLC liable for aiding and abetting the breach of fiduciary duties of directors by advising simultaneously Rural/Metro Corp. on the value of the company in connection with a sale to Warburg Pincus LLC, while other bankers at RBC were pitching their services to Warburg in an effort to gain fees by helping Warburg finance the same deal. [read post]
