Articles Tagged with RBC Capital Markets

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Wurdemann (Wurdemann), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wurdemann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 03, 2024.

Wurdemann engaged in dishonest or unethical practices in the securities business. Wurdemann is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Germain (Germain), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Germain 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 $5,000.00 on July 19, 2024.

The client expressed grievances with the Silicon Valley Bank bond they purchased in November 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Cooper (Cooper), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper 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 July 18, 2024.

Alleged fraud and breach of fiduciary duty by failing to disclose information regarding Plaintiff’s withdrawals from trust account versus return on investments, and overconcentration / unsuitability of investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Spiesberger (Spiesberger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiesberger 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 $24,711.17 on February 12, 2025.

Trustee alleges excessive commissions for liquidation of Trust account.

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

The client alleged the financial advisor modified his accounts without his knowledge or approval.

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