Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Grimm (Grimm), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grimm recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 25, 2025.
The customer alleges unsuitable investments, misrepresentations and omissions, and that the Financial Advisor was not acting in her best interest.