Securities Lawyers Blog
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 securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on May 03, 2024.
Wurdemann engaged in dishonest or unethical practices in the securities business. Wurdemann is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.