Tag Archives: Dennis Anthony Contrestano

RBC Capital Broker Suspended For Unauthorized Trading

July 12, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Dennis Anthony Contrestano of Fresno California a stockbroker formerly registered with RBC Capital Markets LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he executed trades in customer accounts without authorization. Letter of Acceptance Waiver and Consent No. […]

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