fbpx

RBC Capital Markets (RBC)

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY 150 150 ER

Brian Wurdermann Investigation June  2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting in a…

read more

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

read more

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

read more

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL 150 150 Rex Securities Law

November 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts,  to pay a former…

read more

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL 150 150 Rex Securities Law

October 2017-West Palm Beach, FL The FINRA records of  Paul Vincent Blum ,  a  stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

read more

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Rex Securities Law

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

read more

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Rex Securities Law

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

read more

William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

read more

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Rex Securities Law

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

read more

This site is protected by wp-copyrightpro.com