Tag Archives: Jeffrey Alan Fladell

RBC Stockbroker Sanctioned For Unsuitable Recommendations

April 18, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on RBC Stockbroker Sanctioned For Unsuitable Recommendations

Jeffrey Alan Fladell of Florham Park New Jersey a stockbroker formerly registered with RBC Capital Markets LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Fladell provided unsuitable investment recommendations to an RBC Capital Markets customer. Letter […]

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Investors Sue RBC Capital Markets Unsuitable Bond Sales

Jeffrey Alan Fladell of Florham Park New Jersey a stockbroker formerly associated with RBC Capital Markets LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $1,000,000.00 in damages supported by allegations that (1) municipal bonds transactions effected when Fladell was employed by RBC Capital Markets failed to […]

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Investors Sue RBC Capital Markets For Bad Fixed Income Advice

Jeffrey Alan Fladell of Florham Park New Jersey a stockbroker formerly registered with RBC Capital Markets LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,000,000.00 in damages supported by accusations that the Puerto Rico bond transactions effected in the customer’s investment account during the time Fladell […]

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RBC Capital Markets Sued For Unsuitable Recommendations

Jeffrey Alan Fladell, of West Palm Beach, Florida, a stockbroker currently registered with RBC Capital Markets LLC, has been named in a customer initiated investment related arbitration claim on April 7, 2016, wherein the customer requested more than $5,000.00 in damages based upon allegations that Fladell made unsuitable municipal debt investment recommendations to the customer. […]

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