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Articles Tagged with RBC Capital markets

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 29, 2018 indicate that New York-based brokerage and advisory firm RBC Capital Markets has been sanctioned by FINRA in connection to alleged supervisory failures. Fitapelli Kurta is interested in hearing from investors who have complaints regarding RBC Capital Markets (CRD# 31194). […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that former California-based RBC Capital Markets broker/adviser Barry Hartwyk, who has been involved in several customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that former Indiana-based RBC Capital Markets broker/adviser Roger Klinger has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that Texas-based RBC Capital Markets broker/adviser Thomas Eades is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Eades (CRD# 704136). Thomas Eades has spent 38 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that former California-based RBC Capital Markets broker/adviser David Hirons, who has been involved in a customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Patrick Mauriello has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mauriello (CRD# 2192337). Patrick Mauriello has spent twenty-five years […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former California-based RBC Capital Markets broker/adviser Joseph Garshman, who has received customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 20, 2017 indicate that New York-based RBC Capital Markets broker/adviser Robert Tansey has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tansey (CRD# 1222751). Robert Tansey has spent 33 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that Montana-based RBC Capital Markets broker/adviser James Sowerwine has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sowerwine (CRD# 2803293). James Sowerwine has spent 20 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2017 indicate that California-based RBC Capital Markets broker/adviser Amir Navab has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Navab (CRD# 2437020). Amir Navab has spent 23 years in the […]

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