Search for: "RBC Capital Markets LLC"
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7 May 2010, 10:48 am
RBC Capital Markets Corp., Equity Station Inc., Fagenson & Co. [read post]
28 Sep 2011, 8:14 am
The SEC also charged RBC Capital with failing to adequately explain the risks associated with the investments in its marketing materials. [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]
19 Oct 2016, 1:02 pm
RBC Capital Markets, LLC, October 13, 2016, Nelson, S.).Risky notes. [read post]
17 Feb 2015, 3:41 am
Here’s news from this WSJ article: A Delaware judge awarded $25 million to plaintiffs’ lawyers who successfully sued investment bank RBC Capital Markets LLC over buyout advice it gave a client, but he declined to assess the fees on top of the payout to shareholders. [read post]
10 Mar 2014, 10:51 am
This noteworthy opinion deserves more fulsome commentary but for present purposes we highlight that this 90-page post-trial decision by 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… [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]
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]
9 Nov 2018, 5:24 am
Nissar was at RBC Capital markets in Equity Research covering the Communications T... [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]
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]
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]
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]
7 Feb 2019, 7:07 am
His previous employers include Morgan Stanley (CRD #149777), RBC Capital Markets, LLC (CRD #31194) and Ferris, Baker Watts, LLC (CRD #285), also of Frederick, MD. [read post]
11 Feb 2016, 9:00 am
Stockholders Litigation and RBC Capital Markets, LLC v. [read post]
24 Dec 2020, 3:37 am
RBC Capital Markets, LLC, Defendant /Appellee (8Cir. [read post]
15 Sep 2020, 1:11 pm
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW 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]
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]
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]
