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 moreJune 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 moreAugust 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…
read moreFlint, 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…
read moreBeachwood, 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.…
read moreNovember 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…
read moreWe 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…
read moreJune 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…
read moreApril 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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