sec whistleblower attorneys
April 24, 2020
Rbc Capital Markets LLC
Trading and Pricing
SANCTION AMOUNT: $3889007
Defendants: Rbc Capital Markets LLC
Settlement of charges that Respondent failed to disclose potential conflicts of interest to certain retail retirement account and charitable organization brokerage customers when selling certain higher cost mutual funds to them that were more lucrative for Respondent.
- Key Docs
- Official SEC press release