Tagged with "RBC Capital Markets"

RBC Ordered to Pay $1.4 Million for Unsuitable Sales of Reverse Convertibles

Posted on May 13th, 2015 at 3:08 PM
RBC Ordered to Pay $1.4 Million for Unsuitable Sales of Reverse Convertibles

FINRA has ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for supervisory failures resulting in sales of unsuitable reverse convertible.

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RBC Advisor Settles Collusion Probe

Posted on November 7th, 2014 at 9:00 AM

The RBC has agreed to pay a large amount in restitution to settle a collusion probe while also promosing not to use anti-competitive practices in the future.

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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.