Violation Tracker Individual Record
Company:RBC Capital Markets, LLC
Date:May 2, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:Massachusetts Securities Division
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
News release estimates $2.0 million restitution from settlement.
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