Articles Tagged with RBC Capital Markets

| by

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.

Continue Reading

| by

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

Continue Reading

| by

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

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on September 16, 2022.

Client alleges representative failed to follow instructions on or around June 1, 2022 regarding the sale of certain securities.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Miller (Miller), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $2,500,000.00 on March 24, 2025.

Claimants contend that, after June 2020, Respondent made recommendations regarding a fixed income investment strategy that did not comply with SEC’s Regulation Best Interest.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Siegle (Siegle), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siegle 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 $19,000.00 on May 09, 2025.

The client alleged the financial advisor did not act in the best interest when transferring assets to another broker dealer.

Continue Reading

| by

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

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

The client alleges that the registered representative misled her regarding the interest being paid monthly toward her Loan Management Account.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Matalon (Matalon), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Matalon 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 $1,500,000.00 on November 06, 2023.

Claimants contend that their financial advisor made unsuitable investment recommendations from August 2019 to July 2021.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design