Paul Vincent Blum of West Palm Beach Florida a stockbroker formerly employed by RBC Capital Markets LLC is the subject of a customer initiated investment related arbitration claim which was settled for $70,000.00 in damages supported by allegations that (1) transactions executed by the stockbroker were unsuitable and (2) the customer’s energy-sector corporate bond transactions […]
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Tag Archives: Paul Vincent Blum
Investors Sue RBC Capital For Failure To Supervise
November 24, 2019 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Overconcentration, Securities Arbitration Claims, Unsuitable Investment Recommendations | Comments Off on Investors Sue RBC Capital For Failure To Supervise
Regulator Bars RBC Capital Markets Stockbroker
August 17, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims | Comments Off on Regulator Bars RBC Capital Markets Stockbroker
Paul Vincent Blum, of West Palm Beach, Florida, a stockbroker formerly registered with RBC Capital Markets, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in the course of an investigation into customer complaints. Letter […]
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