Search for: "RBC Capital Markets LLC"
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28 Sep 2011, 1:06 am
The SEC charged RBC Capital Markets LLC for alleged misconduct in the sale of unsuitable investments and its inadequate disclosures regarding the risks associated with those investments. [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]
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]
27 Apr 2015, 11:37 am
In what appears to be another example of broker-dealers continuing to ensure that the wrong speculative securities are sold to the wrong investors, the Financial Industry Regulatory Authority (FINRA) announced in a News Release on April 23, 2015 that RBC Capital Markets, LLC was fined approximately $1 million and ordered to pay restitution of approximately $400,000 for the firm’s failure to supervise the unsuitable sale of reverse convertible securities… [read post]
17 Dec 2020, 8:03 am
The post RBC Capital Markets LLC to pay Investors for 529 Savings Plan Overcharges appeared first on The White Law Group. [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]
27 Sep 2011, 2:54 pm
The SEC charged RBC Capital Markets LLC for misconduct in the sale of unsuitable investments to five Wisconsin school districts and its inadequate disclosures regarding the risks associated with those investments. [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]
4 May 2012, 5:50 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. [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Wudemann (Wudemann), currently employed by RBC Capital Markets, LLC (RBC Capital) has been subject to at least seven customer complaints during the course of his career. [read post]
27 Jul 2011, 3:15 pm
Massachusetts recently filed an administrative complaint against RBC Capital Markets, LLC and one of its former brokers, Michael Zukowski, for “dishonest practices in selling leveraged and inverse leveraged ETF’s. [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]
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]
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]
25 Jul 2011, 10:46 am
The Massachusetts securities division regulator has filed an administrative action against RBC Capital Markets LLC and one of its former registered representatives, Michael D. [read post]
26 Mar 2021, 12:36 pm
The post Jeffrey Fladell, Ex-RBC Capital Markets Suspended from Securities Industry appeared first on The White Law Group. [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [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]
25 Feb 2010, 10:26 am
RBC Capital Markets Corp. v. [read post]
7 May 2010, 10:48 am
RBC Capital Markets Corp., Equity Station Inc., Fagenson & Co. [read post]
