Dustin Smith of RBC Capital Subject of Customer Complaint

Israels & Neuman, PLC — Mon, 23 Feb 2026 15:43:19 GMT

Did you lose money in structured notes through Dustin Smith, previously at RBC Capital Markets in Naples, Florida? Contact Israels & Neuman at (720) 599-3505.

Allegations Regarding Dustin Smith

According to FINRA’s BrokerCheck, in December 2025, a customer filed a FINRA arbitration matter against RBC Capital Markets related to advisor Dustin Smith in Naples, Florida. The Claimant alleged that RBC Capital Markets and Dustin Smith “invested the entirety of the Claimant’s retirement assets in illiquid structured notes”. The complaint alleged $2 million in losses from these structured notes.

Background on Dustin Smith

Dustin Smith was registered with RBC Capital Markets at a Naples, Florida office between 2015 and January 2025. Since then, he has been licensed with Citizens Securities.

Can RBC Capital Markets Be Responsible for Customer Losses?

Pursuant to FINRA Rule 3110, brokerage firms must adequately supervise the activity of their advisors. RBC Capital Markets could be responsible for investor losses if it failed to reasonably supervise their advisors.

Israels & Neuman Helps Investors Recover Losses in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. We have represented numerous investors in Florida in the past, and attorney David Neuman is licensed to practice law in Florida. If you were a client of Dustin Smith and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

View Smith’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Our highly specialized attorneys are ready to help you recover what you deserve.

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

BRIAN WURDEMANN of RBC Capital is BARRED by FINRA

Israels & Neuman, PLC — Wed, 19 Apr 2023 19:13:44 GMT

Brian Wurdemann, Formerly with RBC Capital Markets, Barred by FINRA

NEW YORK, NY

Did you lose money with financial advisor Brian Wurdemann, formerly with RBC Capital Markets in New York, New York? Mr. Wurdemann was barred by FINRA after he failed to comply with an arbitration award, and was sued by his former brokerage firm, RBC Capital Markets.

Brian Wurdemann is also the subject of a recent customer complaint. The complaint alleges that the customer provided a loan to Wurdemann, and that he failed to repay the loan as promised. Generally, financial advisors are not allowed to borrow money from customers, with limited exceptions. Wurdemann was also the subject of seven other customer complaints during his career in the securities brokerage industry.

Brian Wurdemann had worked with RBC Capital Markets in New York City from May 2017 to May 2022. He was also the subject of a FINRA investigation in November 2022 after he failed to respond to a FINRA investigation.

FINRA Rule 8210 mandates that financial advisors respond to FINRA investigations. In addition, Brokerage Firms must adequately supervise the conduct of its advisors, per FINRA Rule 3110.

Our securities arbitration law firm represents clients all over the country, including investors in New York. We have recovered millions of dollars for investors against numerous firms, including against RBC Capital Markets.

View Wurdemann, b BrokerCheck 4.19.23

RBC Capital Markets - Israels & Neuman, PLC