RBC Capital Markets

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.

There are Recent Customer Complaints with Broker Tammy Higgins in Firm RBC Capital Markets, LLC

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammy Higgins (Higgins), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Higgins 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 $29,814.00 on June 27, 2022.

The client alleged bonds purchased in the client’s accounts in January 2022 were done so without her authorization.

There are Recent Customer Complaints with Broker Joseph Chu in Firm RBC Capital Markets, LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Chu (Chu), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chu 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 $460,000.00 on July 19, 2022.

Unsuitable concentration of energy sector securities

There are Recent Customer Complaints with Broker Martin Klein in Firm RBC Capital Markets, LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Klein (Klein), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Klein 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 $8,400,000.00 on October 14, 2022.

The clients alleged the advisor made unsuitable recommendations to purchase governmental agency bonds for his portfolio between September 2016 and June 2022, and misinformed him of their potential risk related to rising interest rates.

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

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rippeteau (Rippeteau), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rippeteau 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 $31,000.00 on October 17, 2022.

The client alleged his advisor failed to follow sell trading instructions in March 2022.