Tag Archives: Michael Amundson

RBC Capital Markets Broker Fined For Unauthorized Trades

August 26, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Michael Amundson, of Fargo, North Dakota, a stockbroker formerly registered with RBC Capital Markets, LLC, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in a customer’s account. Letter of Acceptance, Waiver and Consent, No. 2016051091101 […]

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