Articles Tagged with RBC Capital Markets

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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