Search for: "RBC Capital Markets LLC"
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15 Oct 2015, 6:21 am
Since October 2009, Fladell became associated with RBC Capital Markets, LLC out of the firm’s Parsippany, New Jersey office location. [read post]
26 Aug 2015, 7:56 am
From June 2009 onward Peirce was associated with RBC Capital Markets, LLC (RBC). [read post]
12 Aug 2015, 9:08 am
– $500,000 RBC Capital Markets, LLC – $500,000 Robert W. [read post]
25 Jun 2015, 1:29 pm
Ziegler and Company Benchmark Securities Bernardi Securities BMO Capital Markets GKST BNY Mellon Capital Markets BOSC Central States Capital Markets Citigroup Global Markets City Securities Corporation Davenport & Company Dougherty & Co First National Capital Markets George K. [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]
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]
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]
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]
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]
15 Oct 2014, 2:30 pm
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]
18 Sep 2014, 5:43 am
Thereafter, from July 2005 to November 2010, he was registered in that same capacity through RBC Capital Markets, LLC (RBC) where he worked in the firm’s Massachusetts office. [read post]
1 May 2014, 6:40 am
Claimant(s) Respondent(s) Award of Panel 13-00144 RBC Capital Markets LLC Thomas Alexander Hand (1) Respondent to pay Claimant compensatory damages of $237,326.00; (2) Claimant to pay Respondent compensatory damages of $40,000.00. [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]
2 Apr 2014, 5:24 am
Lawyers and bankers spoke warily, and at times critically, of a decision that has landed RBC Capital Markets LLC on the hook for potentially millions of dollars in damages to shareholders of a company it advised on a 2011 buyout. [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]
20 May 2013, 7:31 am
LLC and RBC Capital Markets LLC after the ambulance service business' $438 million sale to Warburg Pincus LLC two years ago. [read post]
1 Aug 2012, 5:51 am
Joyce, Chairman and CEO, Knight Capital Group, Inc. [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]
10 Apr 2012, 2:19 pm
Settle FINRA Securities Allegations, Stockbroker Fraud Blog, April 6, 2012 CFTC Says RBC Took Part in Massive Trading Scam to Avail of Tax Benefits, Stockbroker Fraud Blog, April 4, 2012 Wirehouses Struggle to Retain Their Share of the High-Net-Worth-Market, Institutional Investor Securities Blog, April 6, 2012 [read post]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United… [read post]
