Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Prentice (Prentice), 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), Prentice’s most recent customer complaint alleges that Prentice 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 $825,000.00 on November 26, 2025.
Alleged negligence, breach of Reg BI, breach of fiduciary duty, unsuitability, and breach of contract, related mainly to the client’s investment in structured notes.