RBC Pays $1.4M To Settle FINRA Supervisory Failure Claims
By Ben Conarck ( April 23, 2015, 1:57 PM EDT) -- The Financial Industry Regulatory Authority on Thursday announced a $1.4 million settlement with broker-dealer RBC Capital Markets LLC over supervisory failures in the sale of complex structured securities products that resulted in $1.1 million worth of investor losses spread across 218 customer accounts....
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