Kenneth Joseph Fisher III of Sewickley, Pennsylvania, a stockbroker registered with RBC Capital Markets LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $10,142.17 in damages based upon allegations that Fisher breached his fiduciary duties in connection with the recommendation and sale of stocks when Fisher was associated with RBC Capital Markets LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02932 (December 30, 2022).
This is not the first time that Fisher has been referenced in a customer initiated investment related dispute concerning Fisher’s conduct in the securities industry. FINRA Public Disclosure shows that Fisher was also referenced in a customer initiated investment related complaint that was settled on December 27, 1999, for $8,525.00 in damages based upon allegations that Fisher engaged in unauthorized trading in mutual funds during the time that Fisher was associated with PaineWebber Inc.
On January 30, 2021, another customer filed an investment related complaint involving Fisher’s conduct in which the customer requested compensation based upon allegations that Fisher made omissions of material fact concerning fees in connection with the sale of investments during the period that Fisher was associated with RBC Capital Markets LLC.
Fisher has been associated with RBC Capital Markets LLC in Sewickley, Pennsylvania, as a stockbroker and an investment advisor representative since March 13, 2009.
