RBC Capital Markets

Ex-OfficeMax CEO wins $8.7M FINRA award from Wells Fargo

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

Arbitration Sean Allocca July 24

Arbitration Sean Allocca July 24
What’s an advisor to do when 10-year Treasurys hit 3%?

Anticipating volatility and its implications could make a big difference.

Treasurys February 22

Treasurys February 22
Former RBC broker barred for not complying with FINRA probe

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

Regulatory actions and programs Margarida Correia November 7, 2017

Regulatory actions and programs Margarida Correia November 7, 2017
RBC advisor, firm to pay elderly client $723K for going overboard on oil and gas MLPs

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

Regulatory actions and programs Margarida Correia November 6, 2017

Regulatory actions and programs Margarida Correia November 6, 2017