Violation Tracker Individual Record
Company:
RBC Capital Markets Corp.
Current Parent Company:
Royal Bank of Canada
Penalty:
$51,724
Year:
2010
Date:
February 8, 2010
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
failure to disclose the risks of auction-rate securities
Level of Government:
state
Action Type:
agency action
Agency:
New Jersey Attorney General
Civil or Criminal Case:
civil
Facility State:
New Jersey
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:
http://www.nj.gov/oag/newsreleases10/pr20100208a.html
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.
