RBC Capital Markets

Broker Scott Murray in RBC Capital Markets, LLC Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Murray (Murray), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $115,000.00 on December 09, 2020.

Time frame: 2014-2016\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in energy sector bonds.

There are Recent Customer Complaints with Broker Scott Wick in Firm RBC Capital Markets, LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wick (Wick), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wick recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 12, 2021.

Client cites failure to supervise client’s financial advisor, which she alleges did not complete changes she authorized in an email to her financial advisor in February 2020. Client requests that her accounts be restored to their January 2, 2020 values.

There are Recent Customer Complaints with Broker James Senderling in Firm RBC Capital Markets, LLC

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senderling (Senderling), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senderling recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges he instructed his financial advisor to purchase 100 shares of Tesla stock on January 22, 2020, wants to be made whole for price and number of shares as there was a stock split in August 2020.

There are Recent Customer Complaints with Broker Thomas Prentice in Firm RBC Capital Markets, LLC

February 7, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Prentice (Prentice), 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), Prentice’s most recent customer complaint alleges that Prentice recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $825,000.00 on November 26, 2025.

Alleged negligence, breach of Reg BI, breach of fiduciary duty, unsuitability, and breach of contract, related mainly to the client’s investment in structured notes.

Broker Richard Iannacone in RBC Capital Markets, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Iannacone (Iannacone), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannacone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $100,000.00 on September 02, 2021.

Misrepresentation

Broker Paul Koch in RBC Capital Markets, LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Koch (Koch), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Koch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 16, 2022.

Without admitting or denying the findings, Koch consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into an amended Form U5 filed by Koch\\u2019s member firm disclosing allegations that he recommended risky and unsuitable investments in various outside business ventures where his wife was a partial owner, and that Koch and his wife diverted funds from the outside investments and accounts for their personal gain. The findings stated that although Koch initially cooperated with FINRA\\u2019s investigation, he ceased doing so.

Broker Edward Schultz in RBC Capital Markets, LLC Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Schultz (Schultz), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,000.00 on November 13, 2025.

The client is disputing the transfer of assets from his deceased father’s IRA and recommendations to hold positions that occurred in October 2025.

Broker Mark Grueninger in RBC Capital Markets, LLC Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grueninger (Grueninger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grueninger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,885,552.00 on October 08, 2025.

Time frame: July 2018 to December 2019\, \, Allegations: Claimants&#39; counsel alleges that Respondents allowed Claimants&#39; former Certified Public Accountant to exceed the scope of his Power of Attorney resulting in his use of Claimants&#39; line of credit resulting in losses.

Broker Thomas Renzi in RBC Capital Markets, LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Renzi (Renzi), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renzi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 23, 2022.

Financial Advisor made unsuitable recommendations

Broker Kyle Mclaughlin in RBC Capital Markets, LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Mclaughlin (Mclaughlin), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mclaughlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Client alleges, inter alia, unsuitability with respect to FA’s recommendation to open a Liquidity Access Line for investment purposes – Apr 2024 – Aug 2024.