Tag Archives: John Henry Murphy III

RBC Capital Markets Stockbroker Suspended For Unauthorized Trading

February 27, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Joseph Henry Murphy III, of Madison, Wisconsin, 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 traded in customer accounts on a discretionary basis in violation of his firm’s […]

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