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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Tag Archives: Michael Amundson
RBC Capital Markets Broker Fined For Unauthorized Trades
August 26, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments