Violation Tracker Individual Record

Company: 
RBC Capital Markets, LLC
Current Parent Company: 
Royal Bank of Canada
Penalty: 
$250,000
Year: 
2012
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
Facility State: 
Massachusetts
HQ Country of Parent: 
Canada
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking
Notes: 

News release estimates $2.0 million restitution from settlement.

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.