Tag Archives: RBC Capital Markets

FINRA Sanctions RBC Stockbroker For Unauthorized Trading

June 24, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on FINRA Sanctions RBC Stockbroker For Unauthorized Trading

Barry John Hartwyk of Long Beach California a stockbroker formerly registered with RBC Capital Markets LLC has been fined $5,000.00 and suspended for fifteen days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that unauthorized trades had been effected in the customer’s investment account by […]

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RBC Capital Markets to pay $1 Million for Failure to Supervise Reverse Convertibles

RBC Capital Markets, LLC, a FINRA member broker-dealer since 1993 headquartered in New York, offers dealing, underwriting, asset management, and brokerage services to the public via 5,300 registered reps operating out of 280 branches. The firm was censured, fined $1M, and ordered to pay $433,898.10 in restitution after consenting to FINRA findings that the firm […]

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