RBC Capital Markets

  • Robert Rex, Esq.

Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes
Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal ,  a  stock broker who is currently  employed by NBC Securities  disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI
Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI 150 150 Robert Rex, Esq.

Flint, Michigan According to FINRA records,  Michael J. Hebner,  a stockbroker  who currently works for IFS Securities ,  discloses  a pending customer dispute,  four prior final customer disputes and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH
Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH 150 150 Robert Rex, Esq.

Beachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…

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  • Robert Rex, Esq.

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event
Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records,  Charles L. Evans ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment and one final regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL
Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL 150 150 Robert Rex, Esq.

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

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  • Robert Rex, Esq.

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL
Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL 150 150 Robert Rex, Esq.

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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