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Reverse Convertibles

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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