fbpx

RBC Capital Markets lawsuit

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

Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL

Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL 150 150 Rex Securities Law

May 2017 – Chicago, IL According to publicly available records Louis Scherschel  (CRD#5634741) ,  a  stockbroker currently registered with St. Bernard Financial Services, Inc.,  discloses settlement of a customer dispute and a discharge from …

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