Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: RBC Capital Markets, LLC
Current Parent Company: Royal Bank of Canada
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $186,439
Year: 2012
Date: December 19, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Montana Commissioner of Securities & Insurance
Civil or Criminal Case: civil
Facility State: Montana
HQ Country of Current Parent: Canada
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.