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RBC Capital Markets (RBC)

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH 150 150 Rex Securities Law

Beachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…

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Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event 150 150 Rex Securities Law

Plano, Texas According to FINRA records,  Charles L. Evans ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment and one final regulatory event. The Financial Industry Regulatory…

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Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL 150 150 Rex Securities Law

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

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Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL 150 150 Rex Securities Law

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 150 150 Rex Securities Law

April 23, 2015 RBC Capital Markets ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from 2008 through 2012 the firm…

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FINRA Announces June 2013 Disciplinary Actions

FINRA Announces June 2013 Disciplinary Actions 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. If you have questions about losses in your brokerage…

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RBC Capital Markets Agrees to Pay $2.9 Million on ETF Losses

RBC Capital Markets Agrees to Pay $2.9 Million on ETF Losses 150 150 Rex Securities Law

RBC Capital Markets, the brokerage unit of Royal Bank of Canada (RBC) agreed to pay investors $2.9 million to cover losses on leveraged and inverse leveraged exchange traded funds to…

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Rex Investigates CIP Leveraged Fund Advisors, LLC

Rex Investigates CIP Leveraged Fund Advisors, LLC 150 150 Rex Securities Law

Cornerstone Ventures, Inc. is the managing partner of CIP Leveraged Fund Advisors, LLC. The firms that solicited sales of this investment, according to SEC records are: Pacific Cornerstone Capital, Inc. Investors Capital Corp.…

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