RBC Capital Markets Corporation nka RBC Capital Markets, LLC. – Delray Beach, Florida Closed – End Fund Unsuitable Recommendation FINRA Arbitration and Litigation Attorney

RBC Capital Markets Corporation nkn RBC Capital Markets, LLC, New York, New York:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:

July 2012 Disciplinary and Other FINRA Actions

Broker Check: http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/

FINRA Case No. 2010022094901 – In July of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that RBC Capital Markets, Corporation n/k/a RBC Capital Markets, LLC. submitted an Offer of Settlement in which the firm was censured, fined $200,000 and ordered to pay $70,000 in partial restitution to a customer. In order to view a copy of the full release, please follow above the referenced links.

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