Investors potentially incurred losses because of securities broker Dustin Allen Smith [CRD: 2803156, Naples, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith worked for RBC Capital Markets LLC from April 1, 2015, to January 29, 2025, and he has been registered with Citizens Securities Inc. since January 17, 2025, […]

Investors might have sustained losses due to securities broker Thomas Christophe Prentice [CRD: 874774, Rancho Mirage, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Prentice has been registered with RBC Capital Markets LLC since January 6, 2016. Keep reading to find out more about Thomas Prentice’s disclosures. RBC Capital […]

Investors potentially experienced sales practice violations by securities broker John Peter Micera [CRD: 1255342, Mendham, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Micera worked for RBC Capital Markets LLC beginning on March 9, 2002, as a broker and since April 29, 2002, as an investment adviser. Investors […]

Investors potentially incurred losses because of securities broker William Lee Notrica [CRD: 817537, Laguna Niguel, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Notrica worked for RBC Capital Markets LLC from February 25, 2004, to February 18, 2022, and has been registered with Aegis Capital Corp. since February 24, 2022. Investors […]

Investors potentially experienced sales practice violations by securities broker James Joseph Montalto [CRD: 711603, Northport, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Montalto has been registered with RBC Capital Markets LLC since November 23, 2005. Read below to discover more about Montalto’s publicly reported disclosures. RBC Capital […]

Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]

Investors possibly experienced sales practice violations by securities broker William Randall Moening (also known as Randy Moening) [CRD: 3029155, Austin, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Moening worked for RBC Capital Markets LLC from January 29, 2024, to April 9, 2025. Keep reading to find out more about the securities broker’s […]

Investors potentially experienced sales practice violations due to securities broker Stanley Morrison Cooper (also known as Stan Cooper) [CRD: 1667427, Fresno, California], according to disclosures on FINRA BrokerCheck. Evidently, Stanley Cooper worked for RBC Capital Markets LLC from June 30, 2003, to January 18, 2023. Keep reading to learn more about Stanley Cooper’s disclosures. RBC […]

Investors reportedly complained about securities broker Matthew C. Haverty (also known as Matt Haverty) [CRD: 4618183, Leawood, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Haverty joined RBC Capital Markets LLC on February 8, 2019, operating from their office in Leawood, Kansas. Prior to that, he worked for Morgan Stanley from June 1, 2009 to […]