Try our Advanced Search for more refined results

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....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Companies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!