RBC Capital Markets Facing Customer Claims Of Misrepresentation Terry Parker Rider (CRD#: 2724817, Houston, Texas), who worked for RBC Capital Markets, LLC, from July 13, 2005 to April 5, 2017, reported that customers have complained about his sales practices. According to Rider’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, his sales practices have been called […]

Recently, the Securities and Exchange Commission (SEC) announced enforcement actions taken against the following 36 municipal underwriting firms for violations in municipal bond offerings. The cases are the first brought against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, a voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents. In […]