Violation Tracker Individual Record
Company:
RBC Capital Markets, LLC
Current Parent Company:
Royal Bank of Canada
Penalty:
$500,000
Year:
2015
Date:
June 18, 2015
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
securities issuance or trading violation
Violation Description:
The SEC announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
HQ Country of Parent:
Canada
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
banking
Source of Data:
https://www.sec.gov/news/pressrelease/2015-125.html (archived copy)
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
