ERC721

The Financial Industry Regulatory Authority ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for supervisory failures resulting in sales of unsuitable reverse convertibles. For more info visit https://www.finra.org/media-center/news-releases/2015/finra-orders-rbc-pay-fine-and-restitution-totaling-more-14-million

Name

947

Owner

0xA71d5b63A34Fe15b0d210d2417bC523642792E96

ID#947

Rarity

HI:15%

Parent Company

Royal Bank of Canada

EX:1%

Company

RBC Capital Markets

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,434,000.00

EX:MAX

Year

2015