Search for: "RBC Capital Markets LLC"
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15 Oct 2011, 6:02 am
As discussed here, the SEC announced on Tuesday, September 27 that it had filed a settled administrative proceeding against RBC Capital Markets LLC, a broker-dealer, 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. [read post]
15 Oct 2011, 6:02 am
As discussed here, the SEC announced on Tuesday, September 27 that it had filed a settled administrative proceeding against RBC Capital Markets LLC, a broker-dealer, 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. [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]
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]
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]
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]
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]
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]
30 Sep 2010, 8:11 am
Big banks may be getting close to facing the worst of their repurchase losses, since original buyers are currently scouring the worst years of underwriting, notably 2006 and 2007, says Gerard Cassidy, analyst at RBC Capital Markets. [read post]
7 May 2010, 10:48 am
RBC Capital Markets Corp., Equity Station Inc., Fagenson & Co. [read post]
7 May 2010, 10:43 am
andnbsp; RBC Capital Markets Corporation andndash; FINRA found that from June 2006 through October 2007, RBC Capital Markets and a predecessor entity, Carlin Equities LLC, executed customer sell orders for nearly 2.5 billion unregistered shares of eight issuers, including over two billion shares of unregistered Universal Express stock. [read post]
25 Feb 2010, 10:26 am
RBC Capital Markets Corp. v. [read post]
12 May 2009, 1:07 am
Manhaini
NEW YORK COUNTYCivil Practice
VTL §505(5) Requiring Change of Address To DMV Inapplicable to Non-Resident
Matter of RBC Capital Markets Corp. v. [read post]
2 Jan 2009, 8:22 am
JDH Capital, LLC v. [read post]
22 Dec 2008, 5:18 pm
The SEC is also waiting to finalize the settlements-in-principle it reached with Merrill Lynch, Bank of America, Wachovia, and RBC Capital Markets. [read post]
12 Dec 2008, 3:02 pm
" The SEC also noted that it will continue to work to finalize settlements with Bank of America, RBC Capital Markets, Merrill Lynch and Wachovia. [read post]
11 Aug 2008, 9:20 pm
Edwards & Sons, Inc., Piper Jaffray , SunTrust Capital Markets , and Bank of America Securities as well as Morgan Stanley, JP Morgan and Wachovia Securities. [read post]
25 Jul 2008, 7:17 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
16 Jul 2008, 9:25 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
12 May 2008, 8:09 pm
Yet each one, briefly noted below, also involves some interesting additional variations on previously established subprime litigation themes.Royal Bank of Canada Auction Rate Securities Lawsuit: On May 12, 2008, plaintiffs’ counsel announced (here) an auction rate securities-related class action lawsuit against Royal Bank of Canada and its subsidiaries, RBC Dain Rauscher and RBC Capital Markets Corporation. [read post]
