RBC Capital Markets

There are Recent Customer Complaints with Broker Bruce Sandry in Firm RBC Capital Markets, LLC

August 20, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker David Miller in Firm RBC Capital Markets, LLC

August 6, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Stephen Siegle in Firm RBC Capital Markets, LLC

July 25, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Jeremy Ruccio in Firm RBC Capital Markets, LLC

July 2, 2025 | by Staff Attorney

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.

Broker Scott Matalon in RBC Capital Markets, LLC Firm Has Customer Complaint

July 1, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Nicole Bailey in Firm RBC Capital Markets, LLC

June 14, 2025 | by Staff Attorney

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.

Broker Gene West in RBC Capital Markets, LLC Firm Has Customer Complaint

June 14, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker James Montalto in Firm RBC Capital Markets, LLC

June 11, 2025 | by Staff Attorney

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.

Broker Leslie Lauer in RBC Capital Markets, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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.

Broker Amir Navab in RBC Capital Markets, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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