Disclosure Events
The Following Types Have Been Reported
- 2 Customer Disputes
Robert A. Dennison CRD
Robert A. Dennison FINRA CRD
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Pending Customer Disputes
| Reporting Source | Employing Firm | Allegations | Alleged Damages | ||
|---|---|---|---|---|---|
| Firm | RBC Capital Markets, LLC | Investments in Puerto Rican bonds were unsuitable and over-concentrated, in the period of 2013-2015 | $113,385.39 |
| Docket/Case # | Date Notice | ||||
|---|---|---|---|---|---|
| 16-00101 | 01-08-16 |
| Reporting Source | Employing Firm | Allegations | Alleged Damages | ||
|---|---|---|---|---|---|
| Firm | RBC Capital Markets, LLC | Unsuitability and overconcetration in Puerto Ricao municipal bonds and failure to disclose risks, in period 2004 through 2013 | $499,000 |
| Docket/Case # | Date Notice | ||||
|---|---|---|---|---|---|
| 15-02289 | 08-28-15 |