Tag: RBC Capital Markets losses

October 1, 2012

RBC Capital Markets Corporation nka RBC Capital Markets, LLC fined by FINRA

RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance,...

Blog, Securities Fraud Articles

May 4, 2012

RBC Capital Markets, LLC fined by FINRA over CMOs.

RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

Blog, Securities Fraud Articles

November 11, 2010

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...

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