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Robert A. Dennison

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Disclosure Events

The Following Types Have Been Reported:

  • 2 Customer Disputes

Pending Customer Disputes

Reporting Source: Firm

Employing Firm: RBC Capital Markets, LLC

Allegations: Investments in Puerto Rican bonds were unsuitable and over-concentrated, in the period of 2013-2015

Alleged Damages: $113,385.39

  • Docket/Case#: 16-00101
  • Date Notice: 01-08-16

Reporting Source: Firm

Employing Firm: RBC Capital Markets, LLC

Allegations: Unsuitability and overconcetration in Puerto Ricao municipal bonds and failure to disclose risks, in period 2004 through 2013

Alleged Damages: $499,000

  • Docket/Case#: 15-02289
  • Date Notice: 08-28-15

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