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.

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