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How to Recover Losses Due to MARTIN OLSON of RBC

Tag Archives: RBC Capital Markets

22
Dec

How to Recover Losses Due to MARTIN OLSON of RBC

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How to Recover Losses Due to MARTIN OLSON of RBC

Israels & Neuman, PLC Investigates Martin Olson, Formerly of RBC Capital Markets   Have you lost money with financial advisor Martin C. Olson (CRD# 1673374), formerly of RBC Capital Markets in Buffalo Grove, Illinois?  We are investigating allegations of former customers related to Martin Olson. Martin Olson and his former brokerage firm, RBC Capital Markets, ...

06
Nov

WARNING! Lisa Lowi — The Subject of 37 CUSTOMER COMPLAINTS

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WARNING!  Lisa Lowi — The Subject of 37 CUSTOMER COMPLAINTS

Lisa Lowi from West Palm Beach, Florida Barred From Securities Industry   Have you lost money with financial advisor Lisa Lowi of West Palm Beach, Florida?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Lisa J. Lowi. FINRA barred Lisa Lowi from the securities industry after she failed to respond ...

15
Aug

WARNING! Impending Investigation: PAUL BLUM

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WARNING!  Impending Investigation:  PAUL BLUM

Paul Blum, formerly of RBC Capital Markets, Barred from Securities Industry   Have you lost money with financial advisor Paul Blum of West Palm Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul V. Blum. FINRA barred Blum from the securities industry after he failed to respond to ...

11
Aug

WARNING! Impending Investigation: PATRICK HUDSON

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WARNING!  Impending Investigation:  PATRICK HUDSON

Patrick Hudson, formerly of RBC Capital Markets, Suspended Six Months from Securities Industry   Have you lost money with Patrick Hudson of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick M. Hudson. FINRA suspended Hudson from the securities industry for six months and fined him $10,000.  FINRA ...

12
Dec

WARNING! Investigation of JOHN SIMPSON–Hunt Valley, Maryland

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WARNING!  Investigation of JOHN SIMPSON–Hunt Valley, Maryland

John Simpson from Hunt Valley, Maryland   Have you lost money with financial advisor John Simpson of Hunt Valley, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Simpson. FINRA barred Simpson from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

07
Aug

Losses in Cushing Mutual Funds?

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Losses in Cushing Mutual Funds? Have you lost money investing in mutual funds issued by Cushing Funds or MainStay Cushing Funds?  The Cushing Funds have invested heavily in oil and gas exploration and production throughout the U.S. and Canada.  However, with the recent downturn in the price of oil, many of the Cushing Funds have ...

24
Apr

WARNING! Impending Investigation–RBC CAPITAL MARKETS and REVERSE CONVERTIBLES

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RBC Capital Markets and Reverse Convertibles   We are currently investigating allegations made against RBC Capital Markets, a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against RBC Capital Markets, alleging that it failed to reasonably supervise the sales of reverse convertibles.  To settle these allegations, ...

21
May

WARNING! Impending Investigation- BRIAN JOSEPH ALLEN, SR.

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Investigation – Brian Joseph Allen Sr. and RBC Capital Markets   We are currently investigating allegations made against Brian Joseph Allen, Sr.  Brian Joseph Allen, Sr. was a registered representative of RBC Capital Markets from March 2006 to May 2012 in RBC Capital Markets’ office in Conshohocken, Pennsylvania.  Brian Joseph Allen was fired by RBC ...

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