Articles Tagged with RBC Capital Markets

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Meyer (Meyer), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $250,000.00 on December 23, 2022.

Customer alleges that FA failed to follow instructions regarding sale of stocks

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2022.

Arbitration: Claimant alleges his FA made unsuitable and unauthorized investments in contrast with Claimant’s stated investment objectives and strategy. \, \, Complaint: Client complains that financial advisor represented that investments were conservative liquid instruments, whereas they lost significant value and were subject to a contingent deferred sales charge. (11/23/2020-7/5/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gorham (Gorham), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorham 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 $5,000.00 on August 13, 2025.

The client alleged a mutual fund investment, made in September 2021, was outside her documented risk tolerance.

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Currently financial advisor David Heide (Heide), 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 pending customer complaint with a damage request of $5,000.00 on August 20, 2025.

The client alleged the advisor misrepresented the portfolio allocations being made to a hedge fund investment in November 2020.

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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 05, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Virgin Iii (Virgin Iii), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Virgin Iii 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 $50,000.00 on March 30, 2023.

Time frame: 2019-2021 Allegations: Claimant alleges unsuitability of certain investments and that such investments resulted in principal losses

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

FINRA BrokerCheck shows a settled customer complaint on April 25, 2023.

Time Frame: November 22, 2022 – November 23, 2022 What were the allegations against theindividual? The client alleges her former Financial Advisor did not have her best interest inmind regarding the activity from the sales of the Mutual Funds and UIT purchases. The allegeddamages are estimated to be in excess of $5,000.00

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2023.

The client had a concern in June 2023 regarding the death benefit on his variable annuity being less than the original cash value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Clackson (Clackson), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clackson 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 $450,000.00 on June 23, 2025.

The client alleged the variable annuity purchased in March 2024 was misrepresented.

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