Search for: "RBC Servicing, LLC"
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17 Sep 2021, 6:05 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
31 Aug 2016, 8:34 am
RBC was the lead financial adviser to Rural/Metro, a medical transportation services provider, and received a $500,000 fee for a fairness opinion presented to Rural/Metro’s board as it considered the sale. [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]
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]
3 Apr 2012, 7:24 am
According to the complaint, RBC also willfully concealed and made false statement concerning its wash sale scheme from OneChicago, LLC, an electronic futures exchange, and CME Group, the entity that exercised regulatory compliance for OneChicago. [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]
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 their… [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]
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]
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]
Court Benchslaps Trade Secret Plaintiff and Counsel For Bad Faith Litigation–RBC Bearings v. Caliber
18 Aug 2016, 7:41 am
Caliber Aero, LLC, 2016 U.S. [read post]
28 Feb 2022, 2:03 pm
The banned channels RBC, Zvezda and Sputnik have previously been criticised for disseminating false information and Russian propaganda. [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]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [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]
19 Apr 2024, 2:04 pm
Morgan Securities LLC Wells Fargo Clearing Services, LLC John Kersey Northwestern Mutual Investment Services, LLC Robert W. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [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]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
21 Feb 2019, 2:04 pm
(JPM), and Royal Bank of Canada (RBC) for allegedly rigging rates for variable-rate demand obligations (VRDOs). [read post]
