RBC Capital Markets losses
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October 1, 2012

RBC Capital Markets Corporation nka RBC Capital Markets, LLC fined...

RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New

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May 4, 2012

RBC Capital Markets, LLC fined by FINRA over CMOs.

RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a

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November 11, 2010

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million

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