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Articles Tagged with RBC Capital markets

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that Kansas-based RBC Capital Markets broker/adviser Kevin Piker has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Piker (CRD# 3207685). Kevin Piker has spent 19 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that former Indiana-based RBC Capital Markets broker Thomas Johnson, currently an investment adviser with Royal Capital Wealth Management, has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Florida-based RBC Capital Markets broker/adviser James Earl has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Earl (CRD# 1234987). James Earl has spent 34 years in the […]

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 […]

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