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Category: RBC Capital Markets

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Financial Advisor Paul Koch (RBC Capital Markets, LLC) Customer Complaints

Paul Koch (CRD#: 1777599) is a previously registered Broker and Investment Advisor. Broker’s Background Paul Koch entered the securities industry in 1987 and previously worked for RBC Capital Markets, LLC; UBS Financial Services, Inc.; Citigroup Global Markets, Inc.; Miller Johnson Steichen Kinnard, Inc.; John G. Kinnard & Company, Inc.; Prudential Securities, Inc.; Piper Jaffray, Inc.; […]

Financial Advisor Gregory Dudzik (RBC Capital Markets, LLC) Customer Complaints

Gregory Dudzik (CRD#: 1133671) is an Financial Advisor at RBC Capital Markets, LLC in Providence, RI. He entered the securities industry in 1983 and previously worked for Janney Montgomery Scott, LLC; Tucker Anthony, Inc.; Painewebber, Inc.; Lehman Brothers, Inc.; Drexel Burnham Lambert, Inc; Lehman Brothers Kuhn Loeb, Inc.; Shearson Lehman Brothers, Inc.; and Shearson/American Express, […]

Financial Advisor Christopher Phillips (RBC Capital Markets, LLC) Customer Complaints

Christopher Phillips (CRD#: 4761544) is an Investment Advisor at RBC Capital Markets, LLC in Stamford, CT. He entered the securities industry in 2004 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.; American Express Financial Advisors, Inc.; and IDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Joseph Chu (RBC Capital Markets, LLC) Customer Complaints

Joseph Chu (CRD # 4546805) is a Financial Advisor at RBC Capital Markets, LLC in Stamford, CT. Joseph Chu has been in the securities industry since 2002 and previously worked at Merrill Lynch, Pierce, Fenner & Smith. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June and July 2020, […]

Financial Advisor Frederick Levine (RBC Capital Markets, LLC) Customer Complaints

Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]

Financial Advisor Thomas Lee Johnson (RBC Capital Markets, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Thomas Lee Johnson, a former Financial Adviser at RBC Capital Markets, LLC in Indianapolis, IN.  Thomas Lee Johnson has been in the securities industry since 1983 and previously worked at Citigroup Global Markets, Inc.    According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Cheryl George (RBC Capital Markets, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Cheryl George, a former Financial Advisor at RBC Capital Markets, LLC.  Cheryl George has been in the securities industry since 2002 and previously worked for Morgan Stanley and Citigroup According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 30, 2018, […]