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Category: RBC Capital Markets

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Former RBC Capital Markets Financial Advisor Paul Koch Barred by FINRA

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.; […]

Customer Dispute Pending Against RBC Capital Markets Financial Advisor Gregory Dudzik for Making Unsuitable Recommendations

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, […]

Customer Complaint Alleging Unsuitability Pending Against RBC Capital Markets Investment Advisor Christopher Phillips

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 […]

RBC Capital Markets, LLC Broker, Joseph Ljong Chu, Has Had Two Recent Customer Complaint Disclosures Alleging over $2Million In Damages

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

Former Oppenheimer And Current RBC Capital Markets Financial Advisor, Frederick Levine, Sanctioned By FINRA For Actively Trading Unit Investment Trusts In Client Accounts?

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, […]

Former RBC Capital Markets Broker, Paul Gershon, Suspended And Fined By FINRA For Allegedly Exercising Discretionary Trading Authority In Several Customer Accounts Without Written Authorization

Paul N. Gershon is a former RBC Capital Markets Financial Advisor in its Leawood, Kansas branch office.  Paul Gershon has been in the securities industry since 1972 and previously worked at E.F. Hutton, B.C Christopher Securities, Piper Jaffray and Oppenheimer & Co.  Paul Gershon is not currently registered as a broker. According to publicly available […]

Former RBC Financial Advisor, Thomas Lee Johnson, Is The Subject Of A FINRA Enforcement Action

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 […]

Cheryl George Sanctioned By FINRA For Sales Practice Violations

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, […]