RBC Capital Markets

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Nicole Bailey a Broker with RBC Capital Markets
Rex Securities Law Investment Fraud Attorney Investigates Nicole Bailey a Broker with RBC Capital Markets 150 150 Robert Rex, Esq.

Last Updated:  February 2024 (Denver, Colorado) Nicole Bailey Investigation Summary Here’s what you need to know about Denver, CO, stockbroker Nicole Bailey: Name:  Nicole Paige Bailey Current Employer:  RBC Capital…

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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY
Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY 150 150 ER

Brian Wurdermann Investigation Updated December  2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Vishnupriya Samudrala formerly with RBC Capital Markets
Rex Securities Law Investment Fraud Attorney Investigates Vishnupriya Samudrala formerly with RBC Capital Markets 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Austin, Texas) VIshnupriya Samudrala Investigation Summary Here’s what you need to know about Austin, Texas, stockbroker Vishnupriya Samudrala: Name: Mr. VIshnupriya Samudrala Current Employer: Previously registered…

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  • Robert Rex, Esq.

Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-Dallas, TX
Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-Dallas, TX 150 150 Robert Rex, Esq.

JANUARY 2019-Dallas, Texas The FINRA records of  Thomas H. Eades ,  a  stockbroker who works for RBC Capital Markets disclose a pending customer disputes seeking damages for the mismanagement of their accounts. The…

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  • Robert Rex, Esq.

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL
RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL 150 150 Robert Rex, Esq.

November 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts,  to pay a former…

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  • Robert Rex, Esq.

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL
Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL 150 150 Robert Rex, Esq.

October 2017-West Palm Beach, FL The FINRA records of  Paul Vincent Blum ,  a  stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

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  • Robert Rex, Esq.

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD
John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Robert Rex, Esq.

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

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  • Robert Rex, Esq.

William F. Albin-former Waddell & Reed Broker-Discloses Discharge
William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Robert Rex, Esq.

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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  • Robert Rex, Esq.

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit
John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Robert Rex, Esq.

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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