RBC

• Aug 27, 2024 SEC Fines Ameriprise, LPL Financial, Raymond James & Others $394 Million for Improper Texting, Off-Channel Communications

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• Dec 15, 2023 Pursuing Claims Against Theresa Allen of RBC Capital for Unsuitable First Republic Sales

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• Apr 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures

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• Jan 6, 2022 RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement

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• Aug 20, 2020 Wedbush's David Hirons Accused of Unauthorized Trading

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• Feb 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud

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• Jun 29, 2018 Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities

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• May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline

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• Feb 13, 2018 Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck

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