Robert A. Dennison CRD

Robert A. Dennison FINRA CRD

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Disclosure Events

The Following Types Have Been Reported

  • 2 Customer Disputes

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

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