According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Straight (Straight), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Straight recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Patt (Patt), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patt recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theresa Allen (Allen), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Allen recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Micera (Micera), currently employed by RBC Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Micera’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Haverty (Haverty), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haverty recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Wurdemann (Wurdemann), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wurdemann recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Germain (Germain), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Germain recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Cooper (Cooper), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Spiesberger (Spiesberger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiesberger recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tremont (Tremont), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tremont recommended unsuitable investments in different investment products including debt securities among other…