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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 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017 indicate that former Maryland-based RBC Capital Markets broker/adviser Patrick Hudson was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hudson (CRD# 2082798). Patrick […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 1, 2017 indicate that Illinois-based RBC Capital Markets broker/adviser Shahida Hossain, also known as Shahida Syeda, has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Hossain (CRD# 2783839). Shahida Hossain has spent […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 8, 2017 indicate that former Florida-based RBC Capital Markets broker/adviser David Muir III has been the subject of customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 21, 2016 indicate that Florida-based Stifel Nicolaus broker/adviser David Holz is has received pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holz (CRD# 2488092). David Holz has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that Illinois-based RBC Capital Markets broker/adviser David Beveridge has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beveridge (CRD# 1635062). […]

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