RBC Capital Markets

There are Recent Customer Complaints with Broker Christopher Monahan in Firm RBC Capital Markets, LLC

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Monahan (Monahan), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monahan 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 $1,000,000.00 on June 04, 2020.

Claimants maintained investments with the Financial Advisor. The Financial Advisor understood that the claimants did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses.

There are Recent Customer Complaints with Broker John Kuehl in Firm RBC Capital Markets, LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kuehl (Kuehl), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuehl 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 $500,000.00 on August 13, 2020.

Claimant alleges that in 2013 and 2016 his financial advisor switched his accounts from fee-based to commission without his approval.

Broker Theresa Allen in RBC Capital Markets, LLC Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

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 one disclosable event. These events include one customer complaint, alleging that Allen 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 $130,069.20 on January 15, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 2021- March 2023,

There are Recent Customer Complaints with Broker Paul Fahey in Firm RBC Capital Markets, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fahey (Fahey), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fahey 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 $21,390.00 on February 06, 2026.

Alleged wrongdoing in distributing municipal bonds in less than whole lots to three beneficiaries of a TOD account after the death of the account holder

There are Recent Customer Complaints with Broker Candice Storm in Firm RBC Capital Markets, LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Candice Storm (Storm), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Storm 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 $21,390.00 on February 06, 2026.

Alleged wrongdoing in distributing municipal bonds in less than whole lots to three beneficiaries of a TOD account after the death of the account holder

Broker Christopher Phillips in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $367,452.00 on November 06, 2020.

The claimant alleged he suffered a net loss of more than 65% of his Employee Pension IRA Account value due to the FA’s failure to properly diversify the account and by their discretionary purchase of single company stocks almost all in oil and gas or energy sectors that were not appropriate for the client’s objectives or risk tolerance.

Broker Nicholas Webster in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2020.

Client alleged changes authorized in an email to her financial advisor in February 2020 were not completed. Based on the claim, per receipt of client’s letter on November 4, 2020, client requests that her accounts be restored to their January 2, 2020 values.

There are Recent Customer Complaints with Broker Gregory Dudzik in Firm RBC Capital Markets, LLC

March 20, 2026 | by Staff Attorney

Currently financial advisor Gregory Dudzik (Dudzik), currently employed by brokerage firm RBC Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000,000.00 on November 27, 2020.

Rhode Island client complains that the fees associated with their accounts were not fully disclosed and were higher than stated between 2009 – 2020. Clients further complain that investments made in a hedge fund and an annuity were not suitable.

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.