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rbc capital markets problem

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…

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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…

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Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes

Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes 150 150 Rex Securities Law

August 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal ,  a  stock broker who is currently  employed by NBC Securities  disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…

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Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI

Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI 150 150 Rex Securities Law

Flint, Michigan According to FINRA records,  Michael J. Hebner,  a stockbroker  who currently works for IFS Securities ,  discloses  a pending customer dispute,  four prior final customer disputes and a termination. The Financial Industry Regulatory…

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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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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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