RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings

The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to pay more than $800,000 to resolve charges that it engaged in unfair dealing in municipal bond offerings. The SEC also announced settled charges against…

Read the Full Press Release

Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

* This article was originally published here

+ posts
The Securities Lawyer