(720) 599-3505

WARNING! Impending Investigation–RBC CAPITAL MARKETS and REVERSE CONVERTIBLES

Tag Archives: Royal Bank of Canada

24
Apr

WARNING! Impending Investigation–RBC CAPITAL MARKETS and REVERSE CONVERTIBLES

Posted by admin | 0 Comment

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, ...

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


Copyright © 2019 Israels Neuman, PLC. All Rights Reserved | Sitemap

Marketing Webmasters | Developed By TRIGUNS