Violation Tracker Individual Record
Company:RBC Capital Markets, LLC
Date:January 6, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
RBC agreed to pay $2.8 million to resolve multistate litigation concerning its practice of using unregistered personnel to sell securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
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:
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