Daria Lynn Radonski (also known as Daria Lynn Baumgarten, Daria Thayer and as Daria Murdock) of Billings Montana a stockbroker formerly registered with RBC Capital Markets LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that she failed to cooperate with a FINRA investigation into her potential unauthorized transactions while at RBC Capital Markets. Letter of Acceptance Waiver and Consent No. 2021070740101 (Sept. 22, 2021).

According to the AWC, Radonski was terminated by RBC Capital Markets on February 25, 2021. The securities broker dealer alleged that Radonski admitted to signing the name of a financial advisor without approval in violation of the company’s Employee Alteration and Execution of Client Documents Policy.

FINRA asked for Radonski to provide documents and information by July 13, 2021 so that it could evaluate the grounds of her termination from RBC Capital Markets. There was no response provided by Radonski.

The AWC stated that Radonski was sent a second request on July 19, 2021 in regard to the investigation. Radonski then spoke with FINRA between July 23, 2021 and September 8, 2021 to relay that she received those requests but would not provide any of the requested documents and information. FINRA determined that Radonski violated FINRA Rules 2010 and 8210 for refusing to cooperate.

Radonski was associated with RBC Capital Markets between December 20, 1999 and March 16, 2021.

Tags: ,

Comments are closed.