Articles Tagged with RBC Capital Markets

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bailey (Bailey), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $100,000.00 on December 15, 2023.

Claimant alleges that, in 2022, its financial advisor recommended unsuitable investments in mortgage-backed securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene West (West), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $100,000.00 on December 15, 2023.

Claimant alleges that its financial advisor recommended the use of margin to achieve liquidity but “downplayed the risk” of using the margin account in the time frame 2022-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Montalto (Montalto), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montalto 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 $33,000.00 on December 26, 2023.

The client alleged a security was sold in March 2023 without his knowledge.

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2024.

Time frame: February 2018 – June 2020 Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amir Navab (Navab), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navab 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 $180,000.00 on January 09, 2024.

Various claims and damages pursuant to portfolio and investment accounts

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Straight (Straight), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Straight 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 March 21, 2025.

The client alleged critical information was not communicated and they were unable to make an informed decision about their annuity.

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2024.

Client alleged the Velocis III fund purchased in May 2020 was not appropriate for him.

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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 4 disclosable events. These events include 4 customer complaints, alleging that Allen 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 $1,750,000.00 on April 11, 2024.

Claimant Alleges unsuitable investment recommendations and unauthorized trading. Activity Dates 11/2019 through 07/2021.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Micera (Micera), 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), Micera’s most recent customer complaint alleges that Micera 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 $2,275,000.00 on April 09, 2024.

Alleged unsuitability related mainly to the clients’ investment in ‘high risk, illiquid, high commission/fee structured’ notes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Haverty (Haverty), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haverty 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 $750,000.00 on May 06, 2024.

Alleged overconcentration and unsuitability of international / emerging markets stock investments

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