Tag Archives: Scott David Fergang

FINRA Sanctions RBC Stockbroker For Unauthorized Trading

May 31, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on FINRA Sanctions RBC Stockbroker For Unauthorized Trading

Scott David Fergang of Paramus New Jersey a stockbroker formerly registered with RBC Capital Markets has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he executed unauthorized trades in a customer’s account. Letter of Acceptance Waiver and Consent No. 2018059478701 (Apr. […]

Read More »

RBC Stockbroker Terminated For Unauthorized Trading

August 27, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on RBC Stockbroker Terminated For Unauthorized Trading

Scott David Fergang of Paramus New Jersey a stockbroker formerly employed by RBC Capital Markets LLC has been terminated from employment on June 19, 2019 founded on allegations that trades were facilitated by the stockbroker on a discretionary basis without the stockbroker obtaining written permission from customers or the securities broker dealer. Fergang violated RBC […]

Read More »