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 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.