Articles Tagged with RBC Capital Markets

Ken CarterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802).

Ken Carter has spent thirty-three years in the securities industry and has been registered with RBC Capital Markets in Seattle, Washington since 1998. Previous registrations include Piper Jaffray in Minneapolis, Minnesota (1987-1998); National Securities Corporation (1986-1987); and First Investors Corporation (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on May 5, 2003; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 2, 1985. He is a registered broker and investment adviser with 30 US states and territories, and with ten self-regulatory organizations (SROs): BOX Options Exchange, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Michael BourkePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Michael Bourke has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bourke (CRD# 2412223).

Michael Bourke has spent 24 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2009. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (2002-2009); Golden Harris Capital Group in West Orange, New Jersey (1998-2002); RD White & Company in New York, New York (1997-1998); and SFI Investments in New York, New York (1993-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 17, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1993; Series 53 (Municipal Securities Principal Examination), which he obtained on March 4, 2004; and Series 24 (General Securities Principal Examination), which he obtained on February 18, 2004. He is a registered broker and investment adviser with 20 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, New Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Utah, and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one regulatory sanction.

Ross FeigenPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 8, 2018 indicate that New Jersey-based RBC Capital Markets broker/adviser Ross Feigen has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Feigen (CRD# 4562310).

Ross Feigen has spent 14 years in the securities industry and has been registered with RBC Capital Markets in Florham Park, New Jersey since 2007. Previous registrations include Citigroup Global Markets in New York, New York (2005-2006); Banc of America Investment Services in Boston, Massachusetts (2004-2005); and RBC Dain Rauscher in New York, New York (2002-2004). He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Missouri, New Jersey, New York, Pennsylvania, Texas, and Wisconsin. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., Nasdaq BX Inc., Nasdaq ISE LLC, Nadsaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2017 indicate that Florida-based RBC Capital Markets broker/adviser William Haring has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Haring (CRD# 1283969).

William Haring has spent 33 years in the securities industry and has been registered with RBC Capital Markets in Fort Lauderdale, Florida since June 2016. Previous registrations include Morgan Stanley in Fort Lauderdale, Florida (2009-2016); Citigroup Global Markets in Fort Lauderdale, Florida (1994-2009); and Prudential Securities in New York, New York (1984-1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 1984; Series 7 (General Securities Representative Examination), which he obtained on July 21, 1984; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 18, 1992. He is a registered broker with 18 US states and territories: California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, and Texas. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Florida-based RBC Capital Markets broker/adviser Marc Friedson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Friedson (CRD# 1178838).

Marc Friedson has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in West Palm Beach, Florida (2009-2016). Previous registrations include JB Hanauer & Company in West Palm Beach, Florida (2005-2009); Citigroup Global Markets in New York, New York (2001-2005); JB Hanauer & Company in Parsippany, New Jersey (1985-2001); Shearson Lehman Hutton (1988); and Prudential-Bache Securities (1984-1985). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and two pending customer complaints.

Irwin MaisnerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that Connecticut-based RBC Capital Markets broker/adviser Irwin Maisner has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maisner (CRD# 1094089).

Irwin Maisner has spent 33 years in the securities industry and has been registered with RBC Capital Markets in Westport, Connecticut since 2014. Previous registrations include Janney Montgomery Scott in Fairfield, Connecticut; First Union Securities in St. Louis, Missouri; First Union Capital Markets in Charlotte, North Carolina; AG Edwards & Sons in St. Louis, Missouri; Prudential-Bache Securities; Josephthal & Company; and IDS Marketing Corporation. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 9 (General Securities Sales Supervisor – Options Module Examination). He is a registered broker and investment adviser with eighteen US states and territories.

According to his BrokerCheck report, he has received three pending customer complaints.

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