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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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.