featured, FINRA, RBC Capital Markets
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From August 28, 2015, to November 2, 2020, the firm reported to FINRA a total of 11,626,033 orders with an inaccurate capacity code.
featured, FINRA, RBC Capital Markets
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RBC Capital Markets LLC has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority.
Cboe fine, RBC Capital Markets
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RBC Capital Markets, LLC has agreed to pay a fine of $90,000 as a part of a settlement with Cboe Exchange.
Andy DePhillips, HSBC, RBC Capital Markets
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Andy DePhillips has held a variety of senior FX sales roles over a 30 year career which has included stops at UBS, Commerzbank, and Citi.
RBC Capital Markets
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Nasdaq has imposed a fine of $350,000 on RBC Capital Markets for poor market access risk management controls.
