Rbc Capital Markets, Llc
- Regulatory AUM
- $310B
- Discretionary
- $235B
- Clients
- 283,910
- Avg AUM / client
- $1.1M
- Accounts
- 511,871
- Employees
- 8,781
AUM over time
Annual snapshots from Form ADV filings · as of Jun 30, 2026
Asset allocation (SMA assets by investment type)
as of Jun 30, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 263,588 | $182B | 58.7% |
| High net worth individuals | 12,350 | $98.5B | 31.7% |
| Banking or thrift institutions | 7 | $55.6M | 0.02% |
| Pooled investment vehicles (non-investment companies) | 17 | $652M | 0.21% |
| Pension and profit sharing plans | 2,335 | $2.7B | 0.86% |
| Charitable organizations | 2,222 | $10.8B | 3.48% |
| State or municipal government entities | 215 | $1.2B | 0.4% |
| Insurance companies | 105 | $445M | 0.14% |
| Corporations and other businesses | 3,071 | $13.8B | 4.45% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Baystate Health Inc EIN 042105941 | Springfield, MA | 09/30/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 152.
People (3,835)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Steven Sagissor | President Of Rbc Wealth Management | Apr 1998 (28y) | Less than 5% | |
| Thurlow, John J | Chief Operating Officer & Chairman Of The Board | May 2015 (11y) | Less than 5% | |
| Thorne, Brett Lane | President, Rbc Clearing & Custody | Aug 2016 (10y) | Less than 5% | |
| Murphy, Thomas N | Us Capital Markets Principal Operations Officer | Oct 2016 (10y) | Less than 5% | |
| Giegerich, Robert Arthur | Principal Financial Officer | Apr 2020 (6y) | Less than 5% | |
| Penn, John Christopher | General Counsel | Dec 2021 (5y) | Less than 5% | |
| Ann Marie Senne | Director | Jun 2022 (4y) | Less than 5% | |
| Carlesimo, Paul Adam | Chief Compliance Officer, Rbc Capital Markets U.S. | Jul 2022 (4y) | Less than 5% | |
| Taylor, Suzanne Marie | Chief Compliance Officer Of Wm Us' Registered Investment Advisor | Jul 2022 (4y) | Less than 5% | |
| Glassman, Dorje Tsering | Co Head Of U.S. Capital Markets Law Group | Oct 2022 (4y) | Less than 5% | |
| Lischin, Matthew Cody | Co Head Of U.S. Capital Markets Law Group | Oct 2022 (4y) | Less than 5% | |
| Espenak, Kristen Elizabeth | Chief Risk Officer, Usa | Dec 2022 (4y) | Less than 5% | |
| Schreiner, Cindy Louise | Us Wealth Management Principal Operations Officer | Apr 2024 (2y) | Less than 5% | |
| O'connor, Sean Walter | Chief Compliance Officer, Rbc Wealth Management U.S. | Sep 2024 (2y) | Less than 5% | |
| Sperduto, Vito Antonio | Director, Ceo Of U.S. Capital Markets | Sep 2024 (2y) | Less than 5% | |
| Charles Keith Odell | Registered representative | Aug 1991 (35y) | ||
| William Thomas Bredice | Registered representative | Jul 1994 (32y) | ||
| Michael Allen Geri | Registered representative | Jan 1995 (32y) | ||
| Mark Wayne Bailey | Registered representative | Jan 1996 (31y) | ||
| Kristian Anders Olsen | Registered representative | Mar 1996 (30y) | ||
| Steven Russell Hill | Registered representative | Sep 1996 (30y) | ||
| Thomas Hegan Wadsworth | Registered representative | Nov 1996 (30y) | ||
| Norman Ko Nakamura | Registered representative | Nov 1996 (30y) | ||
| Stephen Mark Takemura | Registered representative | Feb 1997 (29y) | ||
| David Scott Kelley | Registered representative | Mar 1997 (29y) | ||
| Patrick Dennis Elliott | Registered representative | Mar 1997 (29y) | ||
| Bruce Alexander Cammack | Registered representative | Mar 1998 (28y) | ||
| Christine Louise Spangenberger | Registered representative | Mar 1998 (28y) | ||
| Judy Ann Galbraith | Registered representative | Mar 1998 (28y) | ||
| Linda Jean Cowan | Registered representative | Mar 1998 (28y) | ||
| Ken Anthony Carter | Registered representative | Apr 1998 (28y) | ||
| Daniel Joseph Kolb | Registered representative | Apr 1998 (28y) | ||
| Douglas Edward Artus | Registered representative | Apr 1998 (28y) | ||
| Gregory Stephen Pawlak | Registered representative | Apr 1998 (28y) | ||
| James Michael Wozniak | Registered representative | Apr 1998 (28y) | ||
| John Edward Larsen | Registered representative | Apr 1998 (28y) | ||
| Joseph John Weirich | Registered representative | Apr 1998 (28y) | ||
| Laura Anne Lamberg | Registered representative | Apr 1998 (28y) | ||
| Lauri Binius Droster | Registered representative | Apr 1998 (28y) | ||
| Penelope W Kailing | Registered representative | Apr 1998 (28y) | ||
| Scott Robert Wick | Registered representative | Apr 1998 (28y) | ||
| Sorin Iancu | Registered representative | Apr 1998 (28y) | ||
| Thomas Leo Quigley | Registered representative | Apr 1998 (28y) | ||
| Suzanne Jamie Johnson | Registered representative | Apr 1998 (28y) | ||
| Anthony James Hubick | Registered representative | Aug 1998 (28y) | ||
| David Jack Klein | Registered representative | Aug 1998 (28y) | ||
| Peter Sherman Mortimer | Registered representative | Aug 1998 (28y) | ||
| Elliott Golinkoff | Registered representative | Aug 1998 (28y) | ||
| Robin Lynn Rebarchik | Registered representative | Nov 1998 (28y) | ||
| James Callahan Oneil | Registered representative | Nov 1998 (28y) | ||
| Andrew James Moore | Registered representative | Jan 1999 (28y) | ||
| Brenda Stokes Dixon | Registered representative | Jan 1999 (28y) | ||
| Cathy Jo Anderson Hyams | Registered representative | Jan 1999 (28y) | ||
| James Almando Scatena | Registered representative | Jan 1999 (28y) | ||
| James Robert Jansson | Registered representative | Jan 1999 (28y) | ||
| James Thomas Metcalf | Registered representative | Jan 1999 (28y) | ||
| Jerilee Larrinaga | Registered representative | Jan 1999 (28y) | ||
| John William Metz | Registered representative | Jan 1999 (28y) | ||
| Michael Richard Rooney | Registered representative | Jan 1999 (28y) | ||
| Richard Frederick Barrington | Registered representative | Jan 1999 (28y) | ||
| Robert Wayne Dietz | Registered representative | Jan 1999 (28y) | ||
| Thomas Lynds Coxhead | Registered representative | Jan 1999 (28y) | ||
| Annemarie Jean Wade | Registered representative | Jan 1999 (28y) | ||
| John Harper Garlock | Registered representative | Mar 1999 (27y) | ||
| Jack Robert Watkins | Registered representative | May 1999 (27y) | ||
| Francis Xavier Cretzmeyer | Registered representative | Dec 1999 (27y) | ||
| John Leonard Fisher | Registered representative | Dec 1999 (27y) | ||
| Peter Francis Alepra | Registered representative | Dec 1999 (27y) | ||
| Stephanie Jean Buscher | Registered representative | Dec 1999 (27y) | ||
| Tami Kay Roberts | Registered representative | Dec 1999 (27y) | ||
| William Raymond Happel | Registered representative | Dec 1999 (27y) | ||
| Brian Scott Zimmerman | Registered representative | Dec 1999 (27y) | ||
| John Howard Sutton | Registered representative | Jan 2000 (27y) | ||
| Patricia Purnell Baum | Registered representative | Jan 2000 (27y) | ||
| Scott David Hill | Registered representative | Jan 2000 (27y) | ||
| Neil Aidan Mcdevitt | Registered representative | Jan 2000 (27y) | ||
| Robert Stuart Fillingham | Registered representative | Mar 2000 (26y) | ||
| Karl Richard Lambert | Registered representative | Mar 2000 (26y) | ||
| Garth Thomas Holbert | Registered representative | Mar 2000 (26y) | ||
| Jerry James Karstetter | Registered representative | Mar 2000 (26y) | ||
| Daniel Harris Ball | Registered representative | Apr 2000 (26y) | ||
| Brian Scott Fleck | Registered representative | May 2000 (26y) | ||
| Michael John Dickson | Registered representative | May 2000 (26y) | ||
| Benjamin Patrick Mclaughlin | Registered representative | Jun 2000 (26y) | ||
| Barry Evan Wickman | Registered representative | Jul 2000 (26y) | ||
| Wendy Moss Thomas | Registered representative | Sep 2000 (26y) | ||
| Christopher John Lee | Registered representative | Sep 2000 (26y) | ||
| Lori Lynn Mayer | Registered representative | Dec 2000 (26y) | ||
| Veronica Marie Kuzma Murch | Registered representative | Dec 2000 (26y) | ||
| David Richard Beveridge | Registered representative | Jan 2001 (26y) | ||
| Walter Scott Chapman | Registered representative | Jan 2001 (26y) | ||
| Susan Marie Walton | Registered representative | Jan 2001 (26y) | ||
| Dennis A Lester | Registered representative | Feb 2001 (25y) | ||
| David Brian Sogge | Registered representative | Feb 2001 (25y) | ||
| Kevin Lee Emmendorfer | Registered representative | Mar 2001 (25y) | ||
| Robert Lee Burks | Registered representative | Mar 2001 (25y) | ||
| Mark Steven Boshoven | Registered representative | Apr 2001 (25y) | ||
| Patrick Stephen Swesey | Registered representative | Apr 2001 (25y) | ||
| Mark Anthony Mazzie | Registered representative | May 2001 (25y) | ||
| V Stacy Summers | Registered representative | Jun 2001 (25y) | ||
| Holly Ann Kennedy | Registered representative | Jul 2001 (25y) | ||
| Dana Marie Weir | Registered representative | Aug 2001 (25y) | ||
| Stephen Kent Mouse | Registered representative | Oct 2001 (25y) | ||
| James Chapman | Registered representative | Jan 2002 (25y) | ||
| Alan Mark Reifler | Registered representative | CFP | Feb 2002 (24y) | |
| John Patrick Mcgowan | Registered representative | Feb 2002 (24y) | ||
| David Michael Morris | Registered representative | Mar 2002 (24y) | ||
| Richard Scott Friedman | Registered representative | Mar 2002 (24y) | ||
| James Jay Goldman | Registered representative | CFP | Mar 2002 (24y) | |
| Randall George Peteros | Registered representative | Mar 2002 (24y) | ||
| Richard Ernest Metcalfe | Registered representative | Mar 2002 (24y) | ||
| Rodney William Tucker | Registered representative | Apr 2002 (24y) | ||
| Brenda Lee Kochevar | Registered representative | Apr 2002 (24y) | ||
| Jack Martin Enoch | Registered representative | Apr 2002 (24y) | ||
| Jeffrey Paul Chapman | Registered representative | Apr 2002 (24y) | ||
| Brian Thomas Ford | Registered representative | May 2002 (24y) | ||
| Henry Roberts Miller | Registered representative | May 2002 (24y) | ||
| Scott Henry Weber | Registered representative | May 2002 (24y) | ||
| John Charles Gall | Registered representative | May 2002 (24y) | ||
| Kelly Ilene Hale | Registered representative | May 2002 (24y) | ||
| Aaron Harry Weierbach | Registered representative | May 2002 (24y) | ||
| Timothy Harold Humes | Registered representative | May 2002 (24y) | ||
| Margaret Morton Jackson | Registered representative | May 2002 (24y) | ||
| Andrew Alexander Grant | Registered representative | May 2002 (24y) | ||
| Bruce Irwin Meyers | Registered representative | May 2002 (24y) | ||
| Douglas Alan Bailey | Registered representative | May 2002 (24y) | ||
| Gary David Sargenti | Registered representative | May 2002 (24y) | ||
| George Emerson Otto | Registered representative | May 2002 (24y) | ||
| Mark Gregory Elliott | Registered representative | May 2002 (24y) | ||
| Mark William Otta | Registered representative | May 2002 (24y) | ||
| Patricia Faye Delk | Registered representative | CFP | May 2002 (24y) | |
| Patrick Scott Severo | Registered representative | May 2002 (24y) | ||
| Harvey Hamilton Hardee | Registered representative | Jun 2002 (24y) | ||
| Dana Lynn Irvin | Registered representative | Jun 2002 (24y) | ||
| Patrick Raymond Calkins | Registered representative | Jul 2002 (24y) | ||
| Scott Alan Sangerman | Registered representative | Jul 2002 (24y) | ||
| Maureen Elizabeth Kerrigan | Registered representative | Jul 2002 (24y) | ||
| Terry Lauren Burgess | Registered representative | Sep 2002 (24y) | ||
| Rachel Marie Panasuk | Registered representative | CFP | Sep 2002 (24y) | |
| Anne Uy Fiato | Registered representative | Oct 2002 (24y) | ||
| Carlton Gene Turner | Registered representative | Oct 2002 (24y) | ||
| David Victor Dupont | Registered representative | Oct 2002 (24y) | ||
| Donald Carroll Chapman | Registered representative | Oct 2002 (24y) | ||
| Frank Willis Fisher | Registered representative | CFP | Oct 2002 (24y) | |
| Todd Charles Stout | Registered representative | Oct 2002 (24y) | ||
| Brett Hamilton Bartman | Registered representative | Oct 2002 (24y) | ||
| Richard John Grube | Registered representative | Oct 2002 (24y) | ||
| Brian Edward Keating | Registered representative | Nov 2002 (24y) | ||
| Carmen David Cappadona | Registered representative | Nov 2002 (24y) | ||
| Charles Meizoso | Registered representative | Nov 2002 (24y) | ||
| Janelle Rae Ford | Registered representative | Nov 2002 (24y) | ||
| Jason Scott Larner | Registered representative | Nov 2002 (24y) | ||
| John Peter Micera | Registered representative | Nov 2002 (24y) | ||
| Luke Blaine Rasnake | Registered representative | Nov 2002 (24y) | ||
| Michelle Marie Holahan | Registered representative | Nov 2002 (24y) | ||
| Neil Patrick Mcnulty | Registered representative | Nov 2002 (24y) | ||
| Paul Joseph Lupo | Registered representative | Nov 2002 (24y) | ||
| Philip Anthony Grella | Registered representative | CFP | Nov 2002 (24y) | |
| Pieter Edward Hollenberg | Registered representative | Nov 2002 (24y) | ||
| Robert Bickford Hearne | Registered representative | Nov 2002 (24y) | ||
| Bradford Daniel Bolletino | Registered representative | Nov 2002 (24y) | ||
| Scott Andrew Ceniccola | Registered representative | Nov 2002 (24y) | ||
| Brian Jeffrey Clement | Registered representative | Nov 2002 (24y) | ||
| Bruce Ira Crepea | Registered representative | Nov 2002 (24y) | ||
| Elizabeth Bruner Norman | Registered representative | Jan 2003 (24y) | ||
| Walter Michael Crowell | Registered representative | Apr 2003 (23y) | ||
| Brandon Roper Costley | Registered representative | Apr 2003 (23y) | ||
| Julie Ann Schmiel | Registered representative | Apr 2003 (23y) | ||
| Michael Robert Lynch | Registered representative | Jun 2003 (23y) | ||
| Joseph Pius Holohan | Registered representative | Jul 2003 (23y) | ||
| Michael Scott Fulton | Registered representative | Aug 2003 (23y) | ||
| Robert John Hakala | Registered representative | Aug 2003 (23y) | ||
| Suzanne Evelyn Rinelli | Registered representative | Oct 2003 (23y) | ||
| Kyle John Weir | Registered representative | Oct 2003 (23y) | ||
| Andrew Teller | Registered representative | Dec 2003 (23y) | ||
| William Thomas Cone | Registered representative | Jan 2004 (23y) | ||
| John Stokes | Registered representative | Jan 2004 (23y) | ||
| Ryan Lee Clements | Registered representative | Jan 2004 (23y) | ||
| Bruce James Besecker | Registered representative | Jan 2004 (23y) | ||
| Travis Dean Regier | Registered representative | Jan 2004 (23y) | ||
| Francis Richard Courtney | Registered representative | Jan 2004 (23y) | ||
| Teresa Ann Johnson Lowe | Registered representative | Feb 2004 (22y) | ||
| Collin Andrew Meyer | Registered representative | Feb 2004 (22y) | ||
| David William Henwood | Registered representative | Feb 2004 (22y) | ||
| Miles Tyler Green | Registered representative | CFA | Feb 2004 (22y) | |
| Ronald Clark Mason | Registered representative | Feb 2004 (22y) | ||
| Terrence Joseph Hornsby | Registered representative | Feb 2004 (22y) | ||
| John Ernest Bundock | Registered representative | Apr 2004 (22y) | ||
| Christopher Alan Rasmussen | Registered representative | May 2004 (22y) | ||
| David Samuel Tucker | Registered representative | May 2004 (22y) | ||
| Jeffrey John Wagner | Registered representative | Jun 2004 (22y) | ||
| Peter Allan Roe | Registered representative | Jun 2004 (22y) | ||
| Robert John Present | Registered representative | Jun 2004 (22y) | ||
| Thomas James Mccausland | Registered representative | Jun 2004 (22y) | ||
| Jonathan Buck Bruschi | Registered representative | Jun 2004 (22y) | ||
| David Scott Bolton | Registered representative | Jun 2004 (22y) | ||
| Vance Leonard Falbaum | Registered representative | Jun 2004 (22y) | ||
| Jeffrey Allen Jaeger | Registered representative | Jul 2004 (22y) | ||
| Christopher Michael Rogers | Registered representative | Jul 2004 (22y) | ||
| Russell Dell Kemp | Registered representative | CFP | Jul 2004 (22y) | |
| Melanie Christine Greer | Registered representative | Sep 2004 (22y) | ||
| Brian John Callahan | Registered representative | Sep 2004 (22y) | ||
| Victor Vardell Oelsen | Registered representative | Sep 2004 (22y) | ||
| Carol Jean Muller | Registered representative | Oct 2004 (22y) | ||
| Richard Laurence Siderowf | Registered representative | Oct 2004 (22y) | ||
| Christopher William Tancill | Registered representative | Nov 2004 (22y) | ||
| Niki Condos | Registered representative | Dec 2004 (22y) | ||
| Patrick Edward Roche | Registered representative | Jan 2005 (22y) | ||
| Michael Timothy Drought | Registered representative | Jan 2005 (22y) | ||
| Rhad Keel | Registered representative | Jan 2005 (22y) | ||
| Emmanuel Echaus Calayag | Registered representative | Jan 2005 (22y) | ||
| Robert Patrick Mccarthy | Registered representative | Jan 2005 (22y) | ||
| Tracy Jenee Dugan | Registered representative | Feb 2005 (21y) | ||
| Christopher Conrad Erickson | Registered representative | Feb 2005 (21y) | ||
| Christy Mcduffie Cerralvo | Registered representative | Feb 2005 (21y) | ||
| Michelle Diane Calabro | Registered representative | Feb 2005 (21y) | ||
| Dane Allen Martindale | Registered representative | Feb 2005 (21y) | ||
| Peyton Lambeth Townsend | Registered representative | Feb 2005 (21y) | ||
| Thomas Harry Eades | Registered representative | Feb 2005 (21y) | ||
| Travis Daniel Sullivan | Registered representative | Feb 2005 (21y) | ||
| Charles Robert Hoene | Registered representative | Feb 2005 (21y) | ||
| Cyril Mouaikel | Registered representative | Feb 2005 (21y) | ||
| Matthew Paul Shannon | Registered representative | Feb 2005 (21y) | ||
| Raymond Paul Noyce | Registered representative | Apr 2005 (21y) | ||
| Michael Crowder King Jr | Registered representative | Apr 2005 (21y) | ||
| Stephanie Louise Brown | Registered representative | Apr 2005 (21y) | ||
| Valerie Gale Walter | Registered representative | CFP | Apr 2005 (21y) | |
| Douglas Earl Sexe | Registered representative | Apr 2005 (21y) | ||
| Stuart Anthony Bristow | Registered representative | May 2005 (21y) | ||
| Brandon Barry Honcoop | Registered representative | May 2005 (21y) | ||
| Robert Todd Weiland | Registered representative | May 2005 (21y) | ||
| David Michael Rogers | Registered representative | May 2005 (21y) | ||
| Robert Charles Boland | Registered representative | Jun 2005 (21y) | ||
| Timothy Henry Valente | Registered representative | Jun 2005 (21y) | ||
| Bryan J Weiner | Registered representative | Jun 2005 (21y) | ||
| Thomas Christopher Klein | Registered representative | CFP | Jun 2005 (21y) | |
| Angela Marie Mainor | Registered representative | Jul 2005 (21y) | ||
| Chaim Joseph Rosenbaum | Registered representative | Jul 2005 (21y) | ||
| Sheri Lyn Redford | Registered representative | Jul 2005 (21y) | ||
| Alan Lee Reser | Registered representative | Jul 2005 (21y) | ||
| Lori Ann Tempel | Registered representative | Jul 2005 (21y) | ||
| Julie Ann Fisher | Registered representative | Aug 2005 (21y) | ||
| James Erwin Wing | Registered representative | Aug 2005 (21y) | ||
| Cindy Gay Lewis | Registered representative | Aug 2005 (21y) | ||
| Brett Alan Stene | Registered representative | Aug 2005 (21y) | ||
| Rachel Ann Rone | Registered representative | Aug 2005 (21y) | ||
| Kari Elizabeth Hart | Registered representative | Sep 2005 (21y) | ||
| Jeff John Jaraczeski | Registered representative | Sep 2005 (21y) | ||
| Renee Michelle Floro | Registered representative | Sep 2005 (21y) | ||
| Sally Ann Kirkpatrick | Registered representative | Sep 2005 (21y) | ||
| Paul Diaz Mcdonough | Registered representative | Sep 2005 (21y) | ||
| Arthur Timothy Mccarthy | Registered representative | Oct 2005 (21y) | ||
| Edward Anderson Griswold | Registered representative | Oct 2005 (21y) | ||
| Patrick James Kilcoyne | Registered representative | Oct 2005 (21y) | ||
| Ronald Brian Click | Registered representative | Oct 2005 (21y) | ||
| David Allen Weingartner | Registered representative | Oct 2005 (21y) | ||
| George Childs Hart | Registered representative | Oct 2005 (21y) | ||
| Martin Clarence Wheeler | Registered representative | Oct 2005 (21y) | ||
| David Ben Moskovitz | Registered representative | Oct 2005 (21y) | ||
| Brian Edward Mccarthy | Registered representative | Oct 2005 (21y) | ||
| David Joseph Messaline | Registered representative | Oct 2005 (21y) | ||
| John Michael Mccarthy | Registered representative | Oct 2005 (21y) | ||
| Leslie Brian Fox | Registered representative | Oct 2005 (21y) | ||
| Matthew Michel Montalbano | Registered representative | CFP | Oct 2005 (21y) | |
| Jon Lee Jacobson | Registered representative | Oct 2005 (21y) | ||
| Mark John Evans | Registered representative | Oct 2005 (21y) | ||
| Stephen David Leightman | Registered representative | Oct 2005 (21y) | ||
| John Joseph Dwyer | Registered representative | Nov 2005 (21y) | ||
| Michael Edward Brittain | Registered representative | Nov 2005 (21y) | ||
| Timothy James Cavanaugh | Registered representative | Nov 2005 (21y) | ||
| Warren Buckley Bischoff | Registered representative | Nov 2005 (21y) | ||
| Debora Paddock Ingraham | Registered representative | Nov 2005 (21y) | ||
| Kevin Joseph Tabellione | Registered representative | CFP | Nov 2005 (21y) | |
| Paul Emerson Lantieri | Registered representative | Dec 2005 (21y) | ||
| Charles Morgan Caryl | Registered representative | Dec 2005 (21y) | ||
| Dennis John Stanek | Registered representative | Dec 2005 (21y) | ||
| Paul Phillip Hipsky | Registered representative | Dec 2005 (21y) | ||
| Gary Carl Smith | Registered representative | Dec 2005 (21y) | ||
| Richard Robinson Rapp | Registered representative | Dec 2005 (21y) | ||
| Cory Michael Robbins | Registered representative | Jan 2006 (21y) | ||
| Gregory Charles Glosser | Registered representative | Jan 2006 (21y) | ||
| Jacqueline Eileen Johnson | Registered representative | Jan 2006 (21y) | ||
| Harvey Albert | Registered representative | Jan 2006 (21y) | ||
| Jennifer Lee Elliott | Registered representative | Feb 2006 (20y) | ||
| Paul David King | Registered representative | Feb 2006 (20y) | ||
| Thomas Joseph Griffin | Registered representative | Feb 2006 (20y) | ||
| Kimberly Anne Iannarella | Registered representative | Feb 2006 (20y) | ||
| James Berg Paragamian | Registered representative | Feb 2006 (20y) | ||
| Richard Arthur Schaefer | Registered representative | Feb 2006 (20y) | ||
| Randal Gary Cox | Registered representative | Mar 2006 (20y) | ||
| Jennifer Lynn Carleton | Registered representative | Mar 2006 (20y) | ||
| Justin James Fletchall | Registered representative | Mar 2006 (20y) | ||
| Stephanie Schnieder | Registered representative | Mar 2006 (20y) | ||
| Joseph Herman Schrader | Registered representative | Mar 2006 (20y) | ||
| John Joseph White | Registered representative | Mar 2006 (20y) | ||
| Diane Janet Soucheray | Registered representative | Mar 2006 (20y) | ||
| Harold Donald Losey | Registered representative | Mar 2006 (20y) | ||
| Fred Jernigan Sherrill | Registered representative | Mar 2006 (20y) | ||
| Elizaveta Mccartney | Registered representative | CFP | Mar 2006 (20y) | |
| Pamela Jane Carty | Registered representative | Apr 2006 (20y) | ||
| Frank Delmar Barnett | Registered representative | Apr 2006 (20y) | ||
| Catherine Jean Deleeuw | Registered representative | Apr 2006 (20y) | ||
| Scott Andre Feinman | Registered representative | May 2006 (20y) | ||
| Lawrence Clare Van Atta | Registered representative | May 2006 (20y) | ||
| Barbara Elaine Brewer | Registered representative | Jun 2006 (20y) | ||
| Sara J Bach | Registered representative | Jun 2006 (20y) | ||
| Nicholas Thomas Webster | Registered representative | Jun 2006 (20y) | ||
| Eric Lloyd Brewe | Registered representative | Jun 2006 (20y) | ||
| Edward Dormann Haywood | Registered representative | Jul 2006 (20y) | ||
| Amy Jolynn Strom | Registered representative | Jul 2006 (20y) | ||
| Cydney Irene Crampton | Registered representative | Jul 2006 (20y) | ||
| Ali Brancati | Registered representative | Jul 2006 (20y) | ||
| Anthony Barthol Schumacher | Registered representative | Jul 2006 (20y) | ||
| Joshua Jack Herrin | Registered representative | Jul 2006 (20y) | ||
| Julie Elizabeth Andreoli | Registered representative | Jul 2006 (20y) | ||
| Michelle Dawn Plumridge | Registered representative | Jul 2006 (20y) | ||
| Mark Eric Monroe | Registered representative | Jul 2006 (20y) | ||
| Robert Walker Kenny | Registered representative | CFP | Aug 2006 (20y) | |
| Elizabeth Ann Jacovino | Registered representative | CFP | Aug 2006 (20y) | |
| John Arthur Kuhlman, Jr. | Registered representative | Aug 2006 (20y) | ||
| Elisabeth Brooke Hawley | Registered representative | Aug 2006 (20y) | ||
| Scott Michael Merriman | Registered representative | Aug 2006 (20y) | ||
| Eric Arthur Englund | Registered representative | Aug 2006 (20y) | ||
| Catherine Rose Chen | Registered representative | Aug 2006 (20y) | ||
| Thomas William Van Dyck | Registered representative | Aug 2006 (20y) | ||
| Dustin Daniel Poretskin | Registered representative | CFP | Aug 2006 (20y) | |
| Joseph James Martello | Registered representative | Sep 2006 (20y) | ||
| Robert Elton Maxwell | Registered representative | Sep 2006 (20y) | ||
| Michael David Anderson | Registered representative | Oct 2006 (20y) | ||
| Michael Dominick Keim | Registered representative | Oct 2006 (20y) | ||
| Aaron Michael Scott | Registered representative | Oct 2006 (20y) | ||
| Donald Drew Getman | Registered representative | CFP Chartered Financial Consultant | Oct 2006 (20y) | |
| Patrick Gerard Howell | Registered representative | Oct 2006 (20y) | ||
| Donald Christopher Schultz | Registered representative | Nov 2006 (20y) | ||
| Kevin Michael Blonkvist | Registered representative | Nov 2006 (20y) | ||
| Tylar Frederick Lunke | Registered representative | Nov 2006 (20y) | ||
| Elizabeth Marie Hawley | Registered representative | Nov 2006 (20y) | ||
| Brent Oliver Hudson | Registered representative | Dec 2006 (20y) | ||
| Jared Alan Liebert | Registered representative | Dec 2006 (20y) | ||
| Autumn Sunshine Farrington | Registered representative | Dec 2006 (20y) | ||
| Jane Lee Hewes | Registered representative | Dec 2006 (20y) | ||
| Tiffany Jo Floyd | Registered representative | Jan 2007 (20y) | ||
| Daniel Patrick Kennedy | Registered representative | Jan 2007 (20y) | ||
| Andrew Clay Foldenauer | Registered representative | Jan 2007 (20y) | ||
| Steven Michael Ogle | Registered representative | Feb 2007 (19y) | ||
| Carol Pasol Lewis | Registered representative | Feb 2007 (19y) | ||
| Barry Wayne New | Registered representative | Feb 2007 (19y) | ||
| Courtney Dooley Duphorne | Registered representative | Feb 2007 (19y) | ||
| Diana Louise Read | Registered representative | Feb 2007 (19y) | ||
| Dusty Jory Tripp | Registered representative | Feb 2007 (19y) | ||
| Kenneth Lee Watson | Registered representative | Feb 2007 (19y) | ||
| Steven Alan Herzog | Registered representative | Feb 2007 (19y) | ||
| Thomas Eugene Riley | Registered representative | CFP | Feb 2007 (19y) | |
| John Camrin Heath | Registered representative | Mar 2007 (19y) | ||
| Bethany Marie Kelly | Registered representative | Mar 2007 (19y) | ||
| Geoffrey William Lamb | Registered representative | Mar 2007 (19y) | ||
| Bridgette Diane Morris | Registered representative | Mar 2007 (19y) | ||
| M Carole Sunday | Registered representative | Apr 2007 (19y) | ||
| Richard Edward Van Demark | Registered representative | Apr 2007 (19y) | ||
| James Russell Clement | Registered representative | Apr 2007 (19y) | ||
| Kimberley K Rains | Registered representative | Apr 2007 (19y) | ||
| Joseph Douglas Durell | Registered representative | Jun 2007 (19y) | ||
| Bryon Patrick Epple | Registered representative | Jun 2007 (19y) | ||
| Natalie Andreoletti Miller | Registered representative | Jun 2007 (19y) | ||
| Robert Francis Carmichael | Registered representative | Jun 2007 (19y) | ||
| Brad Fowler Baron | Registered representative | Jul 2007 (19y) | ||
| Mark Gerard Atkinson | Registered representative | Jul 2007 (19y) | ||
| Brian Michael Tavano | Registered representative | Jul 2007 (19y) | ||
| Paul Thomas Hert | Registered representative | Jul 2007 (19y) | ||
| Michael Damian Ruccio | Registered representative | Jul 2007 (19y) | ||
| Sally Raelene Hedrick | Registered representative | Aug 2007 (19y) | ||
| Richard Claude Hogue | Registered representative | Aug 2007 (19y) | ||
| Margaret Kathleen Haskell | Registered representative | Aug 2007 (19y) | ||
| James Alan Brown | Registered representative | Aug 2007 (19y) | ||
| Christie Renee Blaine | Registered representative | Sep 2007 (19y) | ||
| George John Dusckas | Registered representative | Sep 2007 (19y) | ||
| Kenneth Vincent Dunn | Registered representative | Sep 2007 (19y) | ||
| Justin Ryan Baker | Registered representative | Sep 2007 (19y) | ||
| Rick Joseph Sterling | Registered representative | Sep 2007 (19y) | ||
| Thomas Grant Morton | Registered representative | Oct 2007 (19y) | ||
| Kylie A Strum | Registered representative | Oct 2007 (19y) | ||
| Scott Elliot Bern | Registered representative | Nov 2007 (19y) | ||
| Lynda Anne Hiller | Registered representative | Nov 2007 (19y) | ||
| Thomas Linwood Carter | Registered representative | Nov 2007 (19y) | ||
| Stefanie Marie Mills | Registered representative | Nov 2007 (19y) | ||
| Kristen Renee Koers | Registered representative | Dec 2007 (19y) | ||
| Holli Deanna Terry | Registered representative | Dec 2007 (19y) | ||
| Richard William Kelley | Registered representative | Dec 2007 (19y) | ||
| Carl Anthony Hinds | Registered representative | Jan 2008 (19y) | ||
| Christopher George Buol | Registered representative | Jan 2008 (19y) | ||
| Christian Gary Loffredo | Registered representative | Feb 2008 (19y) | ||
| Anne Elizabeth Wight | Registered representative | Feb 2008 (18y) | ||
| Sally Rae Walker | Registered representative | Mar 2008 (18y) | ||
| Daniel Sheridan Heenan | Registered representative | CFP | Mar 2008 (18y) | |
| Scott Macleod Nicol | Registered representative | Mar 2008 (18y) | ||
| Jerome Dixon Bosch | Registered representative | Mar 2008 (18y) | ||
| Elias Jean Pery | Registered representative | Mar 2008 (18y) | ||
| Aleksandra Kovalerchik | Registered representative | Mar 2008 (18y) | ||
| Amy Sue Fitzpatrick | Registered representative | Mar 2008 (18y) | ||
| Beth Cohen Rosenwald | Registered representative | Mar 2008 (18y) | ||
| Matthew David Kunkel | Registered representative | CFP | Mar 2008 (18y) | |
| Philip Andrew Mehrer | Registered representative | Mar 2008 (18y) | ||
| Diana Hathway Alexander | Registered representative | Apr 2008 (18y) | ||
| Kelly Kay Schubert | Registered representative | Apr 2008 (18y) | ||
| Thomas Edson Schryver | Registered representative | Apr 2008 (18y) | ||
| Albert Mathias Krohn | Registered representative | May 2008 (18y) | ||
| Jacob Brian Salzman | Registered representative | May 2008 (18y) | ||
| Nicole M Jones | Registered representative | May 2008 (18y) | ||
| Elizabeth Anne Schroder | Registered representative | May 2008 (18y) | ||
| Sandra Lynn Ellis | Registered representative | May 2008 (18y) | ||
| Ollin Randall Driver | Registered representative | Jun 2008 (18y) | ||
| Amy Beth Dunn | Registered representative | Jun 2008 (18y) | ||
| Barbara Flynn Letvinchuk | Registered representative | CFP | Jun 2008 (18y) | |
| Leigh Anne Richardson | Registered representative | Jun 2008 (18y) | ||
| Sean Patrick Lynch | Registered representative | Jun 2008 (18y) | ||
| Thomas Frank Lynch | Registered representative | Jun 2008 (18y) | ||
| Kimberly Janis Snow Lawlor | Registered representative | Jun 2008 (18y) | ||
| Mina Choo | Registered representative | Jun 2008 (18y) | ||
| Thomas David Fieldman | Registered representative | Jun 2008 (18y) | ||
| Paul Michael Clancy | Registered representative | Jul 2008 (18y) | ||
| Thomas Joseph Zielinski | Registered representative | Jul 2008 (18y) | ||
| Charlotte Elaine Jackson | Registered representative | Jul 2008 (18y) | ||
| Richard Thomas Iannacone | Registered representative | CFP | Jul 2008 (18y) | |
| David Lenn Deruelle | Registered representative | Jul 2008 (18y) | ||
| Juliana Gunawan Lee | Registered representative | Aug 2008 (18y) | ||
| Scott Macgregor Denniston | Registered representative | Aug 2008 (18y) | ||
| Ken Eugene Kilmer | Registered representative | Aug 2008 (18y) | ||
| Adam Eaton Letheby | Registered representative | Aug 2008 (18y) | ||
| Brandon David Dill | Registered representative | Sep 2008 (18y) | ||
| William John Baugh | Registered representative | Sep 2008 (18y) | ||
| Rob Thomas Kuehn | Registered representative | Oct 2008 (18y) | ||
| David William Mcilroy | Registered representative | Oct 2008 (18y) | ||
| Bradley James Blind | Registered representative | Oct 2008 (18y) | ||
| Nancy A Jensen | Registered representative | Oct 2008 (18y) | ||
| Carrie Jean Groszek | Registered representative | Oct 2008 (18y) | ||
| Holly Ann Harvey | Registered representative | Oct 2008 (18y) | ||
| Seamus Matthew Monschein | Registered representative | Oct 2008 (18y) | ||
| Stephen Paul Vitale | Registered representative | CFP | Nov 2008 (18y) | |
| Mark Adam Borcherding | Registered representative | Nov 2008 (18y) | ||
| Mark Johnston | Registered representative | Nov 2008 (18y) | ||
| Terrance L Wood | Registered representative | Nov 2008 (18y) | ||
| Jay Henry Liberman | Registered representative | Nov 2008 (18y) | ||
| Ronald Keith Brierton | Registered representative | Nov 2008 (18y) | ||
| David Tyler Hillard | Registered representative | Nov 2008 (18y) | ||
| Paul Ballett | Registered representative | Nov 2008 (18y) | ||
| Evan Michael Kraft | Registered representative | Dec 2008 (18y) | ||
| Jonathan Mark Heller | Registered representative | Dec 2008 (18y) | ||
| Shayne William Beecher | Registered representative | Dec 2008 (18y) | ||
| Jeffrey Seth Jacobson | Registered representative | Dec 2008 (18y) | ||
| Greg David Hornok | Registered representative | Jan 2009 (18y) | ||
| Teresa Rose Soppet | Registered representative | Jan 2009 (18y) | ||
| Dennis Dingman Hobbs | Registered representative | Jan 2009 (18y) | ||
| Christopher J Dorsi | Registered representative | Jan 2009 (18y) | ||
| Lance Duncan Newlin | Registered representative | Jan 2009 (18y) | ||
| Sean Matthew O'neill | Registered representative | CFP | Jan 2009 (18y) | |
| Shelley Leah Johnson | Registered representative | Jan 2009 (18y) | ||
| Jeffrey Davis Currie | Registered representative | Jan 2009 (18y) | ||
| Russell Allen Mansfield | Registered representative | CFP | Jan 2009 (18y) | |
| Bruce Leon Kalajian | Registered representative | Jan 2009 (18y) | ||
| Daniel Aaron Slacter | Registered representative | Jan 2009 (18y) | ||
| Thomas John Brandt | Registered representative | Jan 2009 (18y) | ||
| Kris Stephen Dahl | Registered representative | Jan 2009 (18y) | ||
| Barry Raymon Nathanson | Registered representative | Jan 2009 (18y) | ||
| Andrew Jeffrey Pickett | Registered representative | Jan 2009 (18y) | ||
| Shane Michael Flock | Registered representative | Jan 2009 (18y) | ||
| Reva Shakkottai | Registered representative | Feb 2009 (17y) | ||
| Matthew Bartlett Sorenson | Registered representative | Feb 2009 (17y) | ||
| Gregory Scott Johnson | Registered representative | Feb 2009 (17y) | ||
| Kirk William High | Registered representative | Feb 2009 (17y) | ||
| Laura Manning High | Registered representative | Feb 2009 (17y) | ||
| Sean Patrick Tully | Registered representative | Feb 2009 (17y) | ||
| Gordon Iver Erikson | Registered representative | Feb 2009 (17y) | ||
| Daniel Storey Henry | Registered representative | Feb 2009 (17y) | ||
| Steven Craig Anderson | Registered representative | Feb 2009 (17y) | ||
| Robert Francis Brown | Registered representative | Feb 2009 (17y) | ||
| David Charles Thompson | Registered representative | Mar 2009 (17y) | ||
| Mark Gordon Ruof | Registered representative | CFP | Mar 2009 (17y) | |
| Paul M Mosqueda | Registered representative | Mar 2009 (17y) | ||
| Scott Richard Chappell | Registered representative | Mar 2009 (17y) | ||
| Andrew John Hensen | Registered representative | Mar 2009 (17y) | ||
| David Ronald Rhode | Registered representative | Mar 2009 (17y) | ||
| Gregory John Davidson | Registered representative | Mar 2009 (17y) | ||
| Joseph A Di Vito | Registered representative | CFP | Mar 2009 (17y) | |
| Scott Edward Deffinbaugh | Registered representative | CFP | Mar 2009 (17y) | |
| Amit Shashidharan | Registered representative | CFP | Mar 2009 (17y) | |
| Andrew Brett Poulos | Registered representative | Mar 2009 (17y) | ||
| Andrew Wallace Fischer | Registered representative | Mar 2009 (17y) | ||
| Bret Frederick Schardt | Registered representative | Mar 2009 (17y) | ||
| Brian Michael Griffin | Registered representative | Mar 2009 (17y) | ||
| Brian William Jones | Registered representative | Mar 2009 (17y) | ||
| Charles Michael Luck | Registered representative | CFP | Mar 2009 (17y) | |
| Christopher Frank Swatta | Registered representative | Mar 2009 (17y) | ||
| Daniel Sean Phelan | Registered representative | Mar 2009 (17y) | ||
| David Edward Schmelz | Registered representative | Mar 2009 (17y) | ||
| David Jonathan Miller | Registered representative | Mar 2009 (17y) | ||
| Diane Costello Schaefer | Registered representative | Mar 2009 (17y) | ||
| Frank William Dingle | Registered representative | Mar 2009 (17y) | ||
| Gary David Marino | Registered representative | Mar 2009 (17y) | ||
| Geoffrey Harrison Brent | Registered representative | Mar 2009 (17y) | ||
| Gregory Allan Jorgensen | Registered representative | Mar 2009 (17y) | ||
| Gregory Brian Kroneberger | Registered representative | CFP | Mar 2009 (17y) | |
| Guy Vincent Palmeri | Registered representative | Mar 2009 (17y) | ||
| James Philip Sporrer | Registered representative | Mar 2009 (17y) | ||
| James Riggs Stafford | Registered representative | Mar 2009 (17y) | ||
| Jeffrey Marvin Joy | Registered representative | CFP | Mar 2009 (17y) | |
| Jennifer Rebecca Brandenburg | Registered representative | Mar 2009 (17y) | ||
| John Raymond Hershey | Registered representative | Mar 2009 (17y) | ||
| Kathleen Diane Cabrales | Registered representative | Mar 2009 (17y) | ||
| Keith Nicholas Lanzoni | Registered representative | Mar 2009 (17y) | ||
| Kenneth Henry Root | Registered representative | Mar 2009 (17y) | ||
| Kenneth Joseph Fisher | Registered representative | Mar 2009 (17y) | ||
| Lisa Dawn Vetter | Registered representative | Mar 2009 (17y) | ||
| Marc Patrick Firlie | Registered representative | Mar 2009 (17y) | ||
| Marcus Alejandro Hull | Registered representative | Mar 2009 (17y) | ||
| Mark Valentine Dyer | Registered representative | Mar 2009 (17y) | ||
| Mary Loretta Mathias | Registered representative | CFP | Mar 2009 (17y) | |
| Michael James Riley | Registered representative | CFP | Mar 2009 (17y) | |
| Michael Joseph Condron | Registered representative | Mar 2009 (17y) | ||
| Patrick James Vaughan | Registered representative | Mar 2009 (17y) | ||
| Patrick Peter Vaughan | Registered representative | CFP | Mar 2009 (17y) | |
| Perry Stephen Fong | Registered representative | Mar 2009 (17y) | ||
| Rebecca Hatch Parker | Registered representative | Mar 2009 (17y) | ||
| Robert Patrick Simmons | Registered representative | CFP | Mar 2009 (17y) | |
| Ryan Charles Mazzarino | Registered representative | Mar 2009 (17y) | ||
| Scott Harris Kreger | Registered representative | Mar 2009 (17y) | ||
| Scott Ronald Giltinan | Registered representative | Mar 2009 (17y) | ||
| Sean Patrick Murphy | Registered representative | Mar 2009 (17y) | ||
| Shawn Bransby Oreilly | Registered representative | Mar 2009 (17y) | ||
| Sheila Maureen Oneill | Registered representative | Mar 2009 (17y) | ||
| Steven Scott Ross | Registered representative | CFP | Mar 2009 (17y) | |
| Susan Marie Hovanec | Registered representative | CFP | Mar 2009 (17y) | |
| Thomas Keith Mccrory | Registered representative | Mar 2009 (17y) | ||
| Timothy Clifford Hayes | Registered representative | Mar 2009 (17y) | ||
| Timothy Michael Herb | Registered representative | Mar 2009 (17y) | ||
| Timothy Paul Stocker | Registered representative | Mar 2009 (17y) | ||
| William Christopher Glassman | Registered representative | Mar 2009 (17y) | ||
| William Douglas Fort | Registered representative | Mar 2009 (17y) | ||
| Jeffrey Aaron Horn | Registered representative | Mar 2009 (17y) | ||
| Joseph William Mundie | Registered representative | Mar 2009 (17y) | ||
| Thomas Michael Wenzel | Registered representative | Mar 2009 (17y) | ||
| James Lloyd Moore | Registered representative | Apr 2009 (17y) | ||
| Kelly Dee Killough | Registered representative | Apr 2009 (17y) | ||
| Alison Mae Quinn | Registered representative | Apr 2009 (17y) | ||
| Michael Wayne Norvell | Registered representative | Apr 2009 (17y) | ||
| John Marshall Terry | Registered representative | Apr 2009 (17y) | ||
| Marina Nicole Galli | Registered representative | Apr 2009 (17y) | ||
| Christopher Peter Klavins | Registered representative | Apr 2009 (17y) | ||
| Marcia Marie Moore Hull | Registered representative | Apr 2009 (17y) | ||
| Michael John Chenchar | Registered representative | Apr 2009 (17y) | ||
| Christopher Robert Kulesa | Registered representative | Apr 2009 (17y) | ||
| Kristi Diane Dunlap | Registered representative | Apr 2009 (17y) | ||
| Louis John Foran | Registered representative | Apr 2009 (17y) | ||
| Frederick Caswell Dey | Registered representative | CFP | Apr 2009 (17y) | |
| James Bryan Harvey | Registered representative | Apr 2009 (17y) | ||
| Nancy Shatto Murray | Registered representative | Apr 2009 (17y) | ||
| Matthew Gregory Lanham | Registered representative | Apr 2009 (17y) | ||
| Craig Harmon Shaver | Registered representative | Apr 2009 (17y) | ||
| Steven Shaw Eagley | Registered representative | Apr 2009 (17y) | ||
| Charles Foster Claflin Hall | Registered representative | Apr 2009 (17y) | ||
| Christopher Walker | Registered representative | CFP | Apr 2009 (17y) | |
| Garth Michael Conner | Registered representative | Apr 2009 (17y) | ||
| Amy Barnes Chipman | Registered representative | May 2009 (17y) | ||
| David Glenn Miller | Registered representative | May 2009 (17y) | ||
| Theresa Jean Huntley | Registered representative | May 2009 (17y) | ||
| Troy Rafael Fox | Registered representative | May 2009 (17y) | ||
| Marc Robert Fortier | Registered representative | May 2009 (17y) | ||
| Ashli Brooke Welch | Registered representative | May 2009 (17y) | ||
| Jeffrey Donald Hall | Registered representative | May 2009 (17y) | ||
| David Lawson Harris | Registered representative | May 2009 (17y) | ||
| Deric Redmond | Registered representative | May 2009 (17y) | ||
| Campbell M Wright | Registered representative | May 2009 (17y) | ||
| David Michael Di Vito | Registered representative | May 2009 (17y) | ||
| David Bradley Cates | Registered representative | May 2009 (17y) | ||
| Elizabeth Mcsorley Webb | Registered representative | May 2009 (17y) | ||
| Joseph Anthony Romero | Registered representative | May 2009 (17y) | ||
| Philip Michael Mayo | Registered representative | May 2009 (17y) | ||
| Tylen Lee Kattenhorn | Registered representative | May 2009 (17y) | ||
| William Edwin Cates | Registered representative | May 2009 (17y) | ||
| Alexander Laird Ingalls | Registered representative | May 2009 (17y) | ||
| Michael Vance Noble | Registered representative | May 2009 (17y) | ||
| Christopher Nisbet Cates | Registered representative | Jun 2009 (17y) | ||
| Michele L Peacock | Registered representative | Jun 2009 (17y) | ||
| Karen Irene English | Registered representative | CFP | Jun 2009 (17y) | |
| Mark Richard Snyder | Registered representative | Jun 2009 (17y) | ||
| Patricia Lynn Sherick | Registered representative | Jun 2009 (17y) | ||
| Timothy Wayne Engle | Registered representative | Jun 2009 (17y) | ||
| Peter Joseph Strek | Registered representative | Jun 2009 (17y) | ||
| Andrew John Wade | Registered representative | Jun 2009 (17y) | ||
| Mitchell Tomas Pearl | Registered representative | Jun 2009 (17y) | ||
| Adonika Sherre Watkins | Registered representative | Jun 2009 (17y) | ||
| John Hugh Stephens | Registered representative | Jun 2009 (17y) | ||
| Stephen Shearman Hall | Registered representative | Jun 2009 (17y) | ||
| Stephen Lane Watkins | Registered representative | Jul 2009 (17y) | ||
| Curtis Andrew Mckay | Registered representative | Jul 2009 (17y) | ||
| Timothy Duffy Cowdrey | Registered representative | Jul 2009 (17y) | ||
| Dawn Janene Mclaughlin | Registered representative | Jul 2009 (17y) | ||
| Rhys A Helt | Registered representative | Jul 2009 (17y) | ||
| Steven Eric Abrahamson | Registered representative | Jul 2009 (17y) | ||
| Timothy Blake Gabriele | Registered representative | Aug 2009 (17y) | ||
| Emily Ann Aley | Registered representative | Aug 2009 (17y) | ||
| James Spottswood Gibson | Registered representative | Aug 2009 (17y) | ||
| Steven Robert Alexander | Registered representative | Aug 2009 (17y) | ||
| Vittorio Altavas | Registered representative | Aug 2009 (17y) | ||
| Ann Marie Elizabeth Etergino | Registered representative | Aug 2009 (17y) | ||
| John Thomas Gerold | Registered representative | Aug 2009 (17y) | ||
| Michael Joseph Nagle | Registered representative | Sep 2009 (17y) | ||
| Eric Donald Peterson | Registered representative | Sep 2009 (17y) | ||
| Jeffrey Dean Ball | Registered representative | Sep 2009 (17y) | ||
| John Kennith Dipaolo | Registered representative | Sep 2009 (17y) | ||
| Seth W Miller | Registered representative | CFA | Sep 2009 (17y) | |
| Anthony Louis Fuertes | Registered representative | Oct 2009 (17y) | ||
| Bernard L Kashmann | Registered representative | Oct 2009 (17y) | ||
| Dorothy Donna Tagliente | Registered representative | Oct 2009 (17y) | ||
| Ellen Ford Krider | Registered representative | Oct 2009 (17y) | ||
| Eric James Stephen | Registered representative | Oct 2009 (17y) | ||
| Howard Alan Smith | Registered representative | Oct 2009 (17y) | ||
| James Michael Earl | Registered representative | Oct 2009 (17y) | ||
| Jason Barry Reback | Registered representative | Oct 2009 (17y) | ||
| Jeffrey Alan Fischman | Registered representative | Oct 2009 (17y) | ||
| Marc Robert Coopersmith | Registered representative | CFP | Oct 2009 (17y) | |
| Marshall Evan Ames | Registered representative | Oct 2009 (17y) | ||
| Mary Louise Ferguson | Registered representative | Oct 2009 (17y) | ||
| Michael Eric Bourke | Registered representative | Oct 2009 (17y) | ||
| Norman Lehrer | Registered representative | Oct 2009 (17y) | ||
| Patrick Mauriello | Registered representative | Oct 2009 (17y) | ||
| Ronald Ben Maxman | Registered representative | Oct 2009 (17y) | ||
| Stacey Rudbart | Registered representative | Oct 2009 (17y) | ||
| Stephen Austin Stapp | Registered representative | Oct 2009 (17y) | ||
| Steven Jay Ornstein | Registered representative | Oct 2009 (17y) | ||
| Steven Robert Karmelin | Registered representative | Oct 2009 (17y) | ||
| Stuart Lowell Perlmutter | Registered representative | Oct 2009 (17y) | ||
| Susan Eileen Colaco | Registered representative | Oct 2009 (17y) | ||
| Thomas Michael Quinn | Registered representative | CFP | Oct 2009 (17y) | |
| Vladimir W Mindel | Registered representative | Oct 2009 (17y) | ||
| Warren Jay Gisser | Registered representative | Oct 2009 (17y) | ||
| Sheri Lynn Chaney | Registered representative | Oct 2009 (17y) | ||
| Jennifer Bearnson | Registered representative | Oct 2009 (17y) | ||
| Ian William Mcarthur | Registered representative | Oct 2009 (17y) | ||
| Tracy Annette Webb | Registered representative | Nov 2009 (17y) | ||
| Paul Vincent Mulroy | Registered representative | Nov 2009 (17y) | ||
| Daniel Aloysius Petro | Registered representative | CFP | Nov 2009 (17y) | |
| David Octavio Spinar | Registered representative | Nov 2009 (17y) | ||
| John Justin Pierce | Registered representative | Dec 2009 (17y) | ||
| John Michael Macdonald | Registered representative | Dec 2009 (17y) | ||
| Brooke Mclean Mcgeehan | Registered representative | Dec 2009 (17y) | ||
| Loren Leroy Danielson | Registered representative | Dec 2009 (17y) | ||
| Emanuel Vaughn Ludwig | Registered representative | Jan 2010 (17y) | ||
| Heather Seymour Krause | Registered representative | Jan 2010 (17y) | ||
| Thomas Francis Meagher | Registered representative | Jan 2010 (17y) | ||
| Anthony Lewis Barbash | Registered representative | Jan 2010 (17y) | ||
| Stacie Weiner | Registered representative | Jan 2010 (17y) | ||
| Paul Alfred Tropea | Registered representative | CFP | Jan 2010 (17y) | |
| Joy Lynn Sheets | Registered representative | Feb 2010 (16y) | ||
| Aaron Michael Howe | Registered representative | Feb 2010 (16y) | ||
| Christopher Aurthor Vollmer | Registered representative | Feb 2010 (16y) | ||
| Daniel James Hocking | Registered representative | Feb 2010 (16y) | ||
| David Clay Coffeen | Registered representative | Feb 2010 (16y) | ||
| Glen Raymond Webb | Registered representative | Feb 2010 (16y) | ||
| Jacqueline Rae Larson | Registered representative | Feb 2010 (16y) | ||
| James Donald Weil | Registered representative | Feb 2010 (16y) | ||
| James Joseph Montalto | Registered representative | Feb 2010 (16y) | ||
| Jason Patrick Bowles | Registered representative | Feb 2010 (16y) | ||
| Jeffrey Lance Schlesinger | Registered representative | CFP | Feb 2010 (16y) | |
| Lisa Ann Baker | Registered representative | Feb 2010 (16y) | ||
| Maria Therese Zinter | Registered representative | Feb 2010 (16y) | ||
| Rhett Paul Neuman | Registered representative | Feb 2010 (16y) | ||
| Sean Gregory Hoffman | Registered representative | Feb 2010 (16y) | ||
| Stefen Wayne Thielke | Registered representative | Feb 2010 (16y) | ||
| Timothy James Farley | Registered representative | Feb 2010 (16y) | ||
| Thomas Edward Brockley | Registered representative | Feb 2010 (16y) | ||
| Diane Mcinerney White | Registered representative | Feb 2010 (16y) | ||
| Gary Robert Bubalo | Registered representative | Feb 2010 (16y) | ||
| John Paul Lawien | Registered representative | CFP | Feb 2010 (16y) | |
| Kevin Lee Williams | Registered representative | Feb 2010 (16y) | ||
| Kevin Michael Blonkvist | Registered representative | Feb 2010 (16y) | ||
| Nigel Guy De'ath | Registered representative | Feb 2010 (16y) | ||
| Shea Forester Boulware Creed | Registered representative | Mar 2010 (16y) | ||
| Douglas Eugene Bohlman | Registered representative | Mar 2010 (16y) | ||
| Michael David Roskopf | Registered representative | Mar 2010 (16y) | ||
| Robert Jeffrey Clawson | Registered representative | Mar 2010 (16y) | ||
| Amy Dunkelberger Sturtevant | Registered representative | May 2010 (16y) | ||
| Mark Robert Macedo | Registered representative | May 2010 (16y) | ||
| Mark Thomas Cannon | Registered representative | May 2010 (16y) | ||
| Robert Hart Bolling | Registered representative | May 2010 (16y) | ||
| Kelley Jean Fant | Registered representative | Jun 2010 (16y) | ||
| John Kevin Williams | Registered representative | Jul 2010 (16y) | ||
| Donald C Sonsalla | Registered representative | Sep 2010 (16y) | ||
| Richard Thomas Carlin | Registered representative | Sep 2010 (16y) | ||
| Robert Leroy Fryer | Registered representative | Sep 2010 (16y) | ||
| Taylor Ruppersberger Marino | Registered representative | Sep 2010 (16y) | ||
| Kevin Charles Morrice | Registered representative | Sep 2010 (16y) | ||
| Andrew Lewis Kloess | Registered representative | Sep 2010 (16y) | ||
| Michele Lynn Mayo | Registered representative | Oct 2010 (16y) | ||
| Ashley R Schueth | Registered representative | Oct 2010 (16y) | ||
| Chad Dallas Shilson | Registered representative | Oct 2010 (16y) | ||
| Hilary Jane Louise Doherty | Registered representative | CFP | Oct 2010 (16y) | |
| Andrew James Stern | Registered representative | CFA | Nov 2010 (16y) | |
| Danny J Viola | Registered representative | Nov 2010 (16y) | ||
| Katherine Elizabeth Condy | Registered representative | Nov 2010 (16y) | ||
| Todd David Shallcross | Registered representative | Nov 2010 (16y) | ||
| Michael Joseph Winn | Registered representative | Dec 2010 (16y) | ||
| Susan Dolores Natsios | Registered representative | Dec 2010 (16y) | ||
| Adam Thomas Morton | Registered representative | Dec 2010 (16y) | ||
| Jason Robert Hince | Registered representative | Jan 2011 (16y) | ||
| Daniel Richard Fox | Registered representative | Jan 2011 (16y) | ||
| David Sheppard Duncan | Registered representative | Mar 2011 (15y) | ||
| James William Reinhart | Registered representative | Mar 2011 (15y) | ||
| Matthew Brudniak | Registered representative | Mar 2011 (15y) | ||
| Brandi Leigh Joaquin | Registered representative | Mar 2011 (15y) | ||
| Dana Lynn Mcdonald | Registered representative | Apr 2011 (15y) | ||
| Lee Andrew Derose | Registered representative | Apr 2011 (15y) | ||
| Matthew Mezey Gray | Registered representative | Apr 2011 (15y) | ||
| Diana Lynn Kierzkowski | Registered representative | May 2011 (15y) | ||
| Thomas Michael Novotny | Registered representative | May 2011 (15y) | ||
| Jeffrey James Butterfield | Registered representative | CFP | Jun 2011 (15y) | |
| Yevgeny Popovich | Registered representative | Jun 2011 (15y) | ||
| Molly Katherine Solari | Registered representative | Jun 2011 (15y) | ||
| Eric Paul Schulze | Registered representative | Jun 2011 (15y) | ||
| Jean Marjorie Scherer | Registered representative | Jul 2011 (15y) | ||
| Angelika Monika Caulford | Registered representative | Jul 2011 (15y) | ||
| Sean David Collins | Registered representative | Aug 2011 (15y) | ||
| Patricia Ann Bothmer | Registered representative | Aug 2011 (15y) | ||
| Robert Lewis Holmes | Registered representative | Aug 2011 (15y) | ||
| Sacha David Zurawel | Registered representative | Sep 2011 (15y) | ||
| Scott Alan Obenshain | Registered representative | Sep 2011 (15y) | ||
| Mark Gerard Dewane | Registered representative | Sep 2011 (15y) | ||
| Trisha Scott Thomas | Registered representative | Sep 2011 (15y) | ||
| Megan Hawes Lockhart | Registered representative | Sep 2011 (15y) | ||
| Alan Ray Pochter | Registered representative | Oct 2011 (15y) | ||
| Daniel Wayne Christiansen | Registered representative | Oct 2011 (15y) | ||
| Matthew Ryan Williams | Registered representative | Oct 2011 (15y) | ||
| Shauna Lyn Crawford | Registered representative | Oct 2011 (15y) | ||
| Aaron Joseph Crowley | Registered representative | Oct 2011 (15y) | ||
| James Dean Augustine | Registered representative | Oct 2011 (15y) | ||
| Heather Leigh Hardee | Registered representative | Oct 2011 (15y) | ||
| John Marshall Draper | Registered representative | Nov 2011 (15y) | ||
| Christine Marie Cisco | Registered representative | CFP | Nov 2011 (15y) | |
| Patrick Allen Signor | Registered representative | Nov 2011 (15y) | ||
| Christopher Lee Yingling | Registered representative | Nov 2011 (15y) | ||
| Andrew Michael Thompson | Registered representative | Nov 2011 (15y) | ||
| John Bernard Moran | Registered representative | Nov 2011 (15y) | ||
| John Russell Nuber | Registered representative | Nov 2011 (15y) | ||
| Kyle Fitzgerald Dixon | Registered representative | Dec 2011 (15y) | ||
| Laura Spessard Herrera | Registered representative | Dec 2011 (15y) | ||
| Eric Shadoff | Registered representative | Jan 2012 (15y) | ||
| Michael King Degolian | Registered representative | Jan 2012 (15y) | ||
| Theresa Maria Kost | Registered representative | Jan 2012 (15y) | ||
| John Anthony Germain | Registered representative | Jan 2012 (15y) | ||
| Robert Allen Goodwin | Registered representative | Jan 2012 (15y) | ||
| Tim Billy Hudnall | Registered representative | Feb 2012 (14y) | ||
| Luis Alfredo Luna | Registered representative | Feb 2012 (14y) | ||
| Linda Ann Natale | Registered representative | Feb 2012 (14y) | ||
| Roger Michael Molatore | Registered representative | Feb 2012 (14y) | ||
| George John Feneis | Registered representative | Feb 2012 (14y) | ||
| Scott Alexander Karkenny | Registered representative | Mar 2012 (14y) | ||
| Amy Michele Antonellis | Registered representative | Mar 2012 (14y) | ||
| Clinton Bert Sepolio | Registered representative | Mar 2012 (14y) | ||
| Tracy Lynn Murdoch | Registered representative | Mar 2012 (14y) | ||
| Jonathan Thomas Black | Registered representative | Apr 2012 (14y) | ||
| Kurt Kost | Registered representative | Apr 2012 (14y) | ||
| Michelle Jean Grist | Registered representative | Apr 2012 (14y) | ||
| David Kent Bachofner | Registered representative | Apr 2012 (14y) | ||
| Glen Anthony Carter | Registered representative | Apr 2012 (14y) | ||
| Denise Renee Potter | Registered representative | Apr 2012 (14y) | ||
| Thomas Bradley Mccracken | Registered representative | Apr 2012 (14y) | ||
| Andrew Nicholas Boshoven | Registered representative | Apr 2012 (14y) | ||
| Franklin Raymond Mcintyre | Registered representative | Apr 2012 (14y) | ||
| Sarah E Wiggins | Registered representative | Apr 2012 (14y) | ||
| Paul Harper Williams | Registered representative | May 2012 (14y) | ||
| Robert Joseph Pellicoro | Registered representative | May 2012 (14y) | ||
| Andrew Krantz | Registered representative | CFP | May 2012 (14y) | |
| John Patterson Mccalla | Registered representative | May 2012 (14y) | ||
| J Craige Pepper | Registered representative | May 2012 (14y) | ||
| James Edward Nielsen | Registered representative | Jun 2012 (14y) | ||
| Evan Gerard Downey | Registered representative | Jun 2012 (14y) | ||
| Michael Curtis Funsch | Registered representative | Jun 2012 (14y) | ||
| Donald Roy Mitchell | Registered representative | Jul 2012 (14y) | ||
| Alisa Davis | Registered representative | Jul 2012 (14y) | ||
| John Hudson Keats | Registered representative | Jul 2012 (14y) | ||
| Andrew Stephen Leonard | Registered representative | Aug 2012 (14y) | ||
| Timothy Ralph Bockhold | Registered representative | Aug 2012 (14y) | ||
| Kenneth Ross | Registered representative | Aug 2012 (14y) | ||
| Roya Salehirad | Registered representative | Aug 2012 (14y) | ||
| Ernest John Joseph | Registered representative | Aug 2012 (14y) | ||
| David John Evans | Registered representative | Sep 2012 (14y) | ||
| Nepeta Heike Godec | Registered representative | Sep 2012 (14y) | ||
| Earl David Walter | Registered representative | Sep 2012 (14y) | ||
| Alan C Henry | Registered representative | Oct 2012 (14y) | ||
| Alexander James Nierling | Registered representative | Oct 2012 (14y) | ||
| Richard Nierling | Registered representative | Oct 2012 (14y) | ||
| Thomas Vernon Collins | Registered representative | Oct 2012 (14y) | ||
| Jacob Mckenna Longoria | Registered representative | Oct 2012 (14y) | ||
| David Todd Upin | Registered representative | Oct 2012 (14y) | ||
| Kenneth Jason Carter | Registered representative | Oct 2012 (14y) | ||
| Scott Gene Holder | Registered representative | Oct 2012 (14y) | ||
| Timothy Brian Irving | Registered representative | Oct 2012 (14y) | ||
| Todd A Haynes | Registered representative | Oct 2012 (14y) | ||
| Brian Christopher Neault | Registered representative | Nov 2012 (14y) | ||
| Courtney Elice Allen | Registered representative | Nov 2012 (14y) | ||
| Jeffrey Jon Fink | Registered representative | Nov 2012 (14y) | ||
| Steven Eugene Lahre | Registered representative | Nov 2012 (14y) | ||
| Ayesha Yasin | Registered representative | Nov 2012 (14y) | ||
| Mindy Joy Hendawi | Registered representative | Nov 2012 (14y) | ||
| Geoffrey Edward Ramer Aunger | Registered representative | Nov 2012 (14y) | ||
| Karrie Ann Risko | Registered representative | Nov 2012 (14y) | ||
| Franklin Augustus Hart | Registered representative | Dec 2012 (14y) | ||
| Song Su Yi | Registered representative | Dec 2012 (14y) | ||
| Mary Lester Bowe | Registered representative | Dec 2012 (14y) | ||
| Michael Allan Isola | Registered representative | CFP | Dec 2012 (14y) | |
| Mrunal Jatin Patel | Registered representative | Jan 2013 (14y) | ||
| Kenneth William Ferrarini | Registered representative | Jan 2013 (14y) | ||
| Stephanie Gayletipton Karr | Registered representative | Jan 2013 (14y) | ||
| Edmon Lee Enfield | Registered representative | Jan 2013 (14y) | ||
| Blake Thomas Rusk | Registered representative | CFP | Jan 2013 (14y) | |
| Matt C. Rose | Registered representative | Feb 2013 (14y) | ||
| Scott Alan Leinen | Registered representative | Feb 2013 (14y) | ||
| Steven John Ferrarini | Registered representative | Feb 2013 (14y) | ||
| Michael Steadman Benson | Registered representative | Feb 2013 (13y) | ||
| Ronald Lynn Chapman | Registered representative | Feb 2013 (13y) | ||
| Christopher Moore Swatta | Registered representative | Feb 2013 (13y) | ||
| Michele Terese Christiansen | Registered representative | Feb 2013 (13y) | ||
| Russell Samuel Sherred | Registered representative | CFP | Feb 2013 (13y) | |
| Wendy Renee Hulse | Registered representative | Mar 2013 (13y) | ||
| Michael Alan Melton | Registered representative | Mar 2013 (13y) | ||
| Mark Edward Rabbe | Registered representative | Mar 2013 (13y) | ||
| Christine Laspina | Registered representative | Mar 2013 (13y) | ||
| Linda Louise Eastberg | Registered representative | Apr 2013 (13y) | ||
| Jason Francis Ruimerman | Registered representative | Apr 2013 (13y) | ||
| Mark Alan Erhardt | Registered representative | CFP | Apr 2013 (13y) | |
| Brandi Louise Eager | Registered representative | Apr 2013 (13y) | ||
| Lisa French Carpenter | Registered representative | Apr 2013 (13y) | ||
| Robert Bruce Marshall | Registered representative | May 2013 (13y) | ||
| Lindsey Jean Falessi | Registered representative | May 2013 (13y) | ||
| Jonathan Kyle Leipold | Registered representative | May 2013 (13y) | ||
| Michael Richard Johnson | Registered representative | May 2013 (13y) | ||
| William Gardner Marshall | Registered representative | May 2013 (13y) | ||
| Jonas Anders Edstrom | Registered representative | May 2013 (13y) | ||
| Kathleen Marie Corrales | Registered representative | May 2013 (13y) | ||
| Patrick Joseph Tobin | Registered representative | May 2013 (13y) | ||
| Keith Thomas Mirto | Registered representative | May 2013 (13y) | ||
| John Alan Pendergrast | Registered representative | Jun 2013 (13y) | ||
| Kristian Pfeil Sorensen | Registered representative | Jun 2013 (13y) | ||
| David Charles Haehnel | Registered representative | Jun 2013 (13y) | ||
| Robert Haydon Hill | Registered representative | Jun 2013 (13y) | ||
| Gresell Wedel | Registered representative | Jul 2013 (13y) | ||
| Justin Nigel Klueger | Registered representative | Jul 2013 (13y) | ||
| Christian Anne Ofner | Registered representative | Jul 2013 (13y) | ||
| Michael John Van Asten | Registered representative | Jul 2013 (13y) | ||
| Gary Stephen Frederick | Registered representative | Jul 2013 (13y) | ||
| Brynn Alexandra Morris | Registered representative | Jul 2013 (13y) | ||
| Vickie Sue Faulkner | Registered representative | Jul 2013 (13y) | ||
| Aimee Renee Funk | Registered representative | Aug 2013 (13y) | ||
| Susan Mary Sullivan | Registered representative | Aug 2013 (13y) | ||
| Robert Leo Bourgault | Registered representative | Sep 2013 (13y) | ||
| Joseph Carl Caruso | Registered representative | Sep 2013 (13y) | ||
| Katherine Antonia Simmonds | Registered representative | Sep 2013 (13y) | ||
| Kendra Dawn Ami Campanelli | Registered representative | Sep 2013 (13y) | ||
| Jonathan Allan Resin | Registered representative | Sep 2013 (13y) | ||
| Philip Stephen Hammitt | Registered representative | Sep 2013 (13y) | ||
| Stacey Marie Ellis | Registered representative | Sep 2013 (13y) | ||
| Stanley Lee Crisci | Registered representative | Oct 2013 (13y) | ||
| Pamela Ann Pasterick | Registered representative | Oct 2013 (13y) | ||
| Michael Paul Billa | Registered representative | Oct 2013 (13y) | ||
| Paul John Pius Fahey | Registered representative | CFP | Oct 2013 (13y) | |
| Jeffrey L Nova | Registered representative | Oct 2013 (13y) | ||
| Gavin Robertson Mccluey | Registered representative | Oct 2013 (13y) | ||
| Joshua Allan Cohen | Registered representative | Oct 2013 (13y) | ||
| Melissa Caryn Farber | Registered representative | Nov 2013 (13y) | ||
| William James Hoelzel Iv | Registered representative | Nov 2013 (13y) | ||
| Alexander Scott Rykken | Registered representative | Nov 2013 (13y) | ||
| Frank B Emmerling | Registered representative | Nov 2013 (13y) | ||
| Frank Bryan Emmerling | Registered representative | Nov 2013 (13y) | ||
| Eric William Anderson | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Paul Bergh | Registered representative | Nov 2013 (13y) | ||
| Leslie Anne Craven | Registered representative | Nov 2013 (13y) | ||
| Ryan Weston Alstead | Registered representative | Nov 2013 (13y) | ||
| Stephanie Phyllis Betz | Registered representative | Nov 2013 (13y) | ||
| Amy Lynn Brinckerhoff | Registered representative | Nov 2013 (13y) | ||
| Curtis Allen Carstens | Registered representative | Nov 2013 (13y) | ||
| Dale Edward Anderson | Registered representative | Nov 2013 (13y) | ||
| Daniel Lane Brooks | Registered representative | Nov 2013 (13y) | ||
| Dean Gerald Deutz | Registered representative | Nov 2013 (13y) | ||
| Gregory Thomas Dobesh | Registered representative | Nov 2013 (13y) | ||
| Jackie Marie Clark | Registered representative | Nov 2013 (13y) | ||
| James Gordon Benson | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Albert Crowl | Registered representative | Nov 2013 (13y) | ||
| Jennifer Susan Eckert | Registered representative | Nov 2013 (13y) | ||
| John Frederick Case | Registered representative | Nov 2013 (13y) | ||
| John Roger Catlin | Registered representative | Nov 2013 (13y) | ||
| John William Conlin | Registered representative | Nov 2013 (13y) | ||
| Jonathan Matthew Deckenbach | Registered representative | CFP | Nov 2013 (13y) | |
| Kara Marie Christenson | Registered representative | Nov 2013 (13y) | ||
| Kevin Derek Bass | Registered representative | Nov 2013 (13y) | ||
| Kurt Arnold Atkinson | Registered representative | Nov 2013 (13y) | ||
| Linette Eileen Carlson | Registered representative | Nov 2013 (13y) | ||
| Lizbeth Kathleen Baker | Registered representative | Nov 2013 (13y) | ||
| Nicholas Oscar Degidio | Registered representative | Nov 2013 (13y) | ||
| Peter Charles Alexander | Registered representative | Nov 2013 (13y) | ||
| Scott Joseph Demorett | Registered representative | Nov 2013 (13y) | ||
| Shannon Marie Corbin | Registered representative | Nov 2013 (13y) | ||
| Theodore John Bujold | Registered representative | Nov 2013 (13y) | ||
| Theresa Seto Alewine | Registered representative | Nov 2013 (13y) | ||
| Timothy Ryan Bruns | Registered representative | Nov 2013 (13y) | ||
| William John Boehm | Registered representative | Nov 2013 (13y) | ||
| Aaron Louis Funk | Registered representative | Nov 2013 (13y) | ||
| Angela Jo Kiefer | Registered representative | CFP | Nov 2013 (13y) | |
| Angela Marie Engen | Registered representative | Nov 2013 (13y) | ||
| Barbara Ann Kickhafer | Registered representative | Nov 2013 (13y) | ||
| Bridget Kathleen Gray | Registered representative | Nov 2013 (13y) | ||
| Christina Dianne Grandbois | Registered representative | Nov 2013 (13y) | ||
| Christopher Douglas Jandro | Registered representative | Nov 2013 (13y) | ||
| Christy J Forsythe | Registered representative | Nov 2013 (13y) | ||
| Daniel Jeffrey Schlesinger | Registered representative | Nov 2013 (13y) | ||
| Dean Edwin Johnson | Registered representative | Nov 2013 (13y) | ||
| Elizabeth Catharine Cremin | Registered representative | Nov 2013 (13y) | ||
| Elliott Paris Retelle | Registered representative | Nov 2013 (13y) | ||
| Heidi Marie Johnson | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Charles Mcfarlin | Registered representative | Nov 2013 (13y) | ||
| Jennifer Lynn Linder | Registered representative | Nov 2013 (13y) | ||
| John Thomas Giese | Registered representative | Nov 2013 (13y) | ||
| Kalley Diane Leer | Registered representative | Nov 2013 (13y) | ||
| Mai Chao Her | Registered representative | Nov 2013 (13y) | ||
| Matthew Ryan Heerey | Registered representative | Nov 2013 (13y) | ||
| Nicholas Charles Peters | Registered representative | Nov 2013 (13y) | ||
| Timothy James Hansen | Registered representative | Nov 2013 (13y) | ||
| Tracy Trutnau Hanson | Registered representative | Nov 2013 (13y) | ||
| Vincent Mckay Jones | Registered representative | CFP | Nov 2013 (13y) | |
| Allison Fay Nelson | Registered representative | Nov 2013 (13y) | ||
| Michael John Thorn | Registered representative | Nov 2013 (13y) | ||
| Nickolas Lee Holper | Registered representative | Nov 2013 (13y) | ||
| Noel Thomas Tiemann | Registered representative | Nov 2013 (13y) | ||
| Alyssa Michele Hall | Registered representative | Nov 2013 (13y) | ||
| Andrew Joseph Forde | Registered representative | Nov 2013 (13y) | ||
| Dana Leigh Wolf | Registered representative | Nov 2013 (13y) | ||
| David Richard Quaintance | Registered representative | Nov 2013 (13y) | ||
| James Henry Proctor | Registered representative | CFP | Nov 2013 (13y) | |
| Joel Andrew Wolf | Registered representative | Nov 2013 (13y) | ||
| Kristin Ann Wilkes | Registered representative | Nov 2013 (13y) | ||
| Laura Marie Fischer | Registered representative | Nov 2013 (13y) | ||
| Patrick William Tinucci | Registered representative | Nov 2013 (13y) | ||
| Peggy Lynn Rokala | Registered representative | Nov 2013 (13y) | ||
| Shane Frederick Wendt | Registered representative | Nov 2013 (13y) | ||
| Aaron Michael Venasky | Registered representative | Nov 2013 (13y) | ||
| Amy Lynn Stern | Registered representative | Nov 2013 (13y) | ||
| Andrew Jonathan Shermoen | Registered representative | Nov 2013 (13y) | ||
| Andrew Thomas Olson | Registered representative | Nov 2013 (13y) | ||
| Angela Lee Rice | Registered representative | Nov 2013 (13y) | ||
| Anthony Francis Ricker | Registered representative | Nov 2013 (13y) | ||
| Bradford Paul Woodstra | Registered representative | Nov 2013 (13y) | ||
| Bradley James Wheelock | Registered representative | Nov 2013 (13y) | ||
| Brandon William Howe | Registered representative | Nov 2013 (13y) | ||
| Brent Lee Hanson | Registered representative | Nov 2013 (13y) | ||
| Brian Robert Zimny | Registered representative | Nov 2013 (13y) | ||
| David Paul Olson | Registered representative | Nov 2013 (13y) | ||
| David Scott Richter | Registered representative | Nov 2013 (13y) | ||
| Debra Sue Leslie | Registered representative | Nov 2013 (13y) | ||
| Elizabeth Christine Stromberg | Registered representative | Nov 2013 (13y) | ||
| Eric Bentley Thompson | Registered representative | Nov 2013 (13y) | ||
| Eric Daniel Stmartin | Registered representative | Nov 2013 (13y) | ||
| Gregory Allen Witt | Registered representative | Nov 2013 (13y) | ||
| Gregory Jon Neville | Registered representative | Nov 2013 (13y) | ||
| Jay Michael Loch | Registered representative | Nov 2013 (13y) | ||
| Jennifer Lynn Laitinen | Registered representative | Nov 2013 (13y) | ||
| Jess Thomas Troyak | Registered representative | Nov 2013 (13y) | ||
| John Albert Haerle | Registered representative | Nov 2013 (13y) | ||
| John James Nikolou | Registered representative | Nov 2013 (13y) | ||
| John Patrick Walsh | Registered representative | Nov 2013 (13y) | ||
| Joseph Andrew Young | Registered representative | Nov 2013 (13y) | ||
| Joseph Peter Gribben | Registered representative | Nov 2013 (13y) | ||
| Keith Robert Laudenbach | Registered representative | Nov 2013 (13y) | ||
| Kevin Patrick Monn | Registered representative | Nov 2013 (13y) | ||
| Karen Von Rueden Havel | Registered representative | Nov 2013 (13y) | ||
| Lisa Rae Gareis | Registered representative | Nov 2013 (13y) | ||
| Louis Denson Oswalt | Registered representative | Nov 2013 (13y) | ||
| Mark Francis Kranz | Registered representative | Nov 2013 (13y) | ||
| Mary Meichuen Wong | Registered representative | Nov 2013 (13y) | ||
| Matthew John Buzzell | Registered representative | Nov 2013 (13y) | ||
| Matthew Paul Tonsager | Registered representative | Nov 2013 (13y) | ||
| Michael Kern Heiser | Registered representative | Nov 2013 (13y) | ||
| Michael Paul Schuette | Registered representative | Nov 2013 (13y) | ||
| Molly Ann Schutz | Registered representative | Nov 2013 (13y) | ||
| Molly Anne Wurst | Registered representative | Nov 2013 (13y) | ||
| Rick Lynn Patton | Registered representative | Nov 2013 (13y) | ||
| Ryan James Pitman | Registered representative | Nov 2013 (13y) | ||
| Samuel Keliihananui Garbow | Registered representative | Nov 2013 (13y) | ||
| Sara Marie Martinucci | Registered representative | Nov 2013 (13y) | ||
| Scott Charles Schachtman | Registered representative | Nov 2013 (13y) | ||
| Scott Donald Heck | Registered representative | Nov 2013 (13y) | ||
| Steven James Patronas | Registered representative | Nov 2013 (13y) | ||
| Thomas Arthur Schulenberg | Registered representative | Nov 2013 (13y) | ||
| Thomas Christopher Wuertz | Registered representative | Nov 2013 (13y) | ||
| William Kohn | Registered representative | Nov 2013 (13y) | ||
| William Paul Ringham | Registered representative | Nov 2013 (13y) | ||
| Alexander Chris Possis | Registered representative | Nov 2013 (13y) | ||
| Cheryl Ann Dawson Meese | Registered representative | CFP | Nov 2013 (13y) | |
| Gregory Joseph Kuehn | Registered representative | Nov 2013 (13y) | ||
| James Frederick Renn | Registered representative | Nov 2013 (13y) | ||
| Jeffrey Jones Mars | Registered representative | Nov 2013 (13y) | ||
| Joseph George Lambrecht | Registered representative | Nov 2013 (13y) | ||
| Kristin Margret Klein | Registered representative | Nov 2013 (13y) | ||
| Larry Dean Nielsen | Registered representative | Nov 2013 (13y) | ||
| Michael Patrick Mulvaney | Registered representative | Nov 2013 (13y) | ||
| Patrick Kevin Sienko | Registered representative | Nov 2013 (13y) | ||
| Paul Kenneth Joas | Registered representative | Nov 2013 (13y) | ||
| Vicki Lynn Johnson | Registered representative | Nov 2013 (13y) | ||
| William Charles Joas | Registered representative | Nov 2013 (13y) | ||
| Theodore Stanislaus Blanchard | Registered representative | Nov 2013 (13y) | ||
| Brian Matthew Fernandez | Registered representative | Nov 2013 (13y) | ||
| Cindy M Mcadam | Registered representative | Nov 2013 (13y) | ||
| Christopher Wilson Pfeifle | Registered representative | Dec 2013 (13y) | ||
| Donald G Bryner | Registered representative | Dec 2013 (13y) | ||
| Philip G Keller | Registered representative | CFP | Dec 2013 (13y) | |
| Kirstin M Turner | Registered representative | Dec 2013 (13y) | ||
| Joan Elizabeth Peterson | Registered representative | Dec 2013 (13y) | ||
| John Fitzgerald Acosta | Registered representative | Dec 2013 (13y) | ||
| Thomas Curts Smith | Registered representative | CFP | Jan 2014 (13y) | |
| Katherine Stcharles Clark | Registered representative | Jan 2014 (13y) | ||
| Melanie Mcumber Folstad | Registered representative | Jan 2014 (13y) | ||
| Audra S Kerr | Registered representative | Jan 2014 (13y) | ||
| David Christopher Teague | Registered representative | Jan 2014 (13y) | ||
| Robert Leroy Straight | Registered representative | Jan 2014 (13y) | ||
| Christopher Hans Wells | Registered representative | Jan 2014 (13y) | ||
| Jeremy Alfred Pursch | Registered representative | CFP | Jan 2014 (13y) | |
| Ryan John Souligny | Registered representative | Jan 2014 (13y) | ||
| Suzanna Charbonnier | Registered representative | Jan 2014 (13y) | ||
| Wesley Daniel Pruitt | Registered representative | Jan 2014 (13y) | ||
| Renee Rose Woodford | Registered representative | Jan 2014 (13y) | ||
| Aimee Christine Kelly | Registered representative | Jan 2014 (13y) | ||
| Amy Byrnes Snyder | Registered representative | Jan 2014 (13y) | ||
| Kelly Dodson Kerr | Registered representative | Jan 2014 (13y) | ||
| Lora Baldini | Registered representative | Jan 2014 (13y) | ||
| Shawn Michael Gray | Registered representative | Jan 2014 (13y) | ||
| Micah Aaron Barrett | Registered representative | Jan 2014 (13y) | ||
| Carey Lee Groethe | Registered representative | Jan 2014 (13y) | ||
| Raymond Michel Paquet | Registered representative | Jan 2014 (13y) | ||
| James Patrick Leslie | Registered representative | Jan 2014 (13y) | ||
| Telby Tyson Turner | Registered representative | Jan 2014 (13y) | ||
| Brendan Edward Marohn | Registered representative | Feb 2014 (12y) | ||
| Eric W Wittek | Registered representative | Feb 2014 (12y) | ||
| John Joseph Riffle | Registered representative | Feb 2014 (12y) | ||
| Annamarie B Van Til | Registered representative | Feb 2014 (12y) | ||
| Patrick Arthur Easter | Registered representative | CFP | Feb 2014 (12y) | |
| Robert Timothy Marwill | Registered representative | Feb 2014 (12y) | ||
| Terry Alan Sherman | Registered representative | CFP CFA | Feb 2014 (12y) | |
| Heather Amanda Clark | Registered representative | Feb 2014 (12y) | ||
| Paula Calbom O'connor | Registered representative | Mar 2014 (12y) | ||
| Jeremy Michael Plisko | Registered representative | Mar 2014 (12y) | ||
| Calvert Kingsley Blethen | Registered representative | Mar 2014 (12y) | ||
| Amy E Royse | Registered representative | Mar 2014 (12y) | ||
| Samuel Sean Halverson | Registered representative | CFA | Mar 2014 (12y) | |
| Griffin James Foley | Registered representative | Mar 2014 (12y) | ||
| Cheryl Marlene Beard | Registered representative | Apr 2014 (12y) | ||
| Kyle Doege | Registered representative | Apr 2014 (12y) | ||
| Thomas Richard Byrnes | Registered representative | Apr 2014 (12y) | ||
| Robert J Dunbar | Registered representative | Apr 2014 (12y) | ||
| John Gregory Barber | Registered representative | May 2014 (12y) | ||
| Jarrod Gillmore Gray | Registered representative | May 2014 (12y) | ||
| Douglas Anthony Andrews | Registered representative | Jun 2014 (12y) | ||
| Philip Merle Seline | Registered representative | Jun 2014 (12y) | ||
| William Walton Brown | Registered representative | Jun 2014 (12y) | ||
| Francis J O'neill | Registered representative | Jun 2014 (12y) | ||
| Jackson Ryan Cousins | Registered representative | CFP | Jun 2014 (12y) | |
| Martin A Klein | Registered representative | Jun 2014 (12y) | ||
| Gerald Wayne Spessard | Registered representative | Jun 2014 (12y) | ||
| Emily Mccall Huffman | Registered representative | CFP | Jul 2014 (12y) | |
| Maegen Bauer | Registered representative | Jul 2014 (12y) | ||
| Cameron Sheppard Duncan | Registered representative | Jul 2014 (12y) | ||
| Heather Mary Da Cunha | Registered representative | Aug 2014 (12y) | ||
| Jesse Andrew Bengtson | Registered representative | Aug 2014 (12y) | ||
| Timothy Frances Kinsley | Registered representative | Aug 2014 (12y) | ||
| Otho Francis Evans | Registered representative | Aug 2014 (12y) | ||
| Michael Makram Matta | Registered representative | Sep 2014 (12y) | ||
| Alicia Luther | Registered representative | Sep 2014 (12y) | ||
| Anna Marie Highter | Registered representative | Sep 2014 (12y) | ||
| Lisa Mae Mcentee | Registered representative | Sep 2014 (12y) | ||
| Charles Joseph Pisoni | Registered representative | Sep 2014 (12y) | ||
| Caroline Hansen | Registered representative | CFP | Sep 2014 (12y) | |
| Darren Amerkanian | Registered representative | Sep 2014 (12y) | ||
| Madeleine Stewart | Registered representative | Sep 2014 (12y) | ||
| Joanne M Desjardins | Registered representative | Sep 2014 (12y) | ||
| Ally Sara Feinman | Registered representative | Sep 2014 (12y) | ||
| Peter James Kolar | Registered representative | Sep 2014 (12y) | ||
| Rachel Ann Paulin | Registered representative | Oct 2014 (12y) | ||
| Deborah A Sullivan | Registered representative | Oct 2014 (12y) | ||
| Michael A White | Registered representative | Oct 2014 (12y) | ||
| Nick Alan Delucio | Registered representative | Oct 2014 (12y) | ||
| Malcolm Doak Seline | Registered representative | Oct 2014 (12y) | ||
| Daniel Patrick Thompson | Registered representative | Oct 2014 (12y) | ||
| Matthew Alan Rittenhouse | Registered representative | Oct 2014 (12y) | ||
| Tracey Ann Buonarota | Registered representative | Oct 2014 (12y) | ||
| Jessica R Mcgovern | Registered representative | Oct 2014 (12y) | ||
| Thomas R Wahl | Registered representative | Oct 2014 (12y) | ||
| Jeffrey Laster | Registered representative | Nov 2014 (12y) | ||
| Paula Kirejevas | Registered representative | Nov 2014 (12y) | ||
| Eric Joseph Werblow | Registered representative | Nov 2014 (12y) | ||
| Nora Yousif | Registered representative | CFP | Nov 2014 (12y) | |
| Matthew Depinto | Registered representative | Nov 2014 (12y) | ||
| Patrick James Grady | Registered representative | Nov 2014 (12y) | ||
| Jennifer Phillippe Ludwig | Registered representative | Nov 2014 (12y) | ||
| Paul John Pallo | Registered representative | Nov 2014 (12y) | ||
| Carmel Elease Harrell | Registered representative | Nov 2014 (12y) | ||
| Cory Garlock | Registered representative | Nov 2014 (12y) | ||
| Anthony James Loreti | Registered representative | Nov 2014 (12y) | ||
| Deanna Marie Clark | Registered representative | Dec 2014 (12y) | ||
| John Joseph Delatush | Registered representative | Dec 2014 (12y) | ||
| James Joseph Cannon | Registered representative | CFP | Dec 2014 (12y) | |
| Tracey Villaluz Ledda | Registered representative | Dec 2014 (12y) | ||
| Irwin Maisner | Registered representative | Dec 2014 (12y) | ||
| Lisa Dawn Nekrich | Registered representative | Dec 2014 (12y) | ||
| Valerie H Medeles | Registered representative | Jan 2015 (12y) | ||
| Genny M Patterson | Registered representative | Jan 2015 (12y) | ||
| John Henry Decker | Registered representative | Jan 2015 (12y) | ||
| Robert Daniel Bubalo | Registered representative | Jan 2015 (12y) | ||
| Irl Andrew Solomon | Registered representative | Jan 2015 (12y) | ||
| Nuri Benturk | Registered representative | Jan 2015 (12y) | ||
| Cash Alan Freeman | Registered representative | Feb 2015 (11y) | ||
| Jason Brandon Newman | Registered representative | CFP | Feb 2015 (11y) | |
| Christopher Quentin Hugh Leverett | Registered representative | Feb 2015 (11y) | ||
| Edward P Diconza | Registered representative | Feb 2015 (11y) | ||
| Eric George Cook | Registered representative | Feb 2015 (11y) | ||
| Frank Prior Arkinson | Registered representative | CFP | Feb 2015 (11y) | |
| James Andrew Covell | Registered representative | Feb 2015 (11y) | ||
| Julie Garcia | Registered representative | Feb 2015 (11y) | ||
| Robert Andrew Will | Registered representative | Feb 2015 (11y) | ||
| Robert William Taylor | Registered representative | CFA | Feb 2015 (11y) | |
| Silviya Ivanova Stoimenova | Registered representative | Feb 2015 (11y) | ||
| Thomas Joseph Renzi | Registered representative | Feb 2015 (11y) | ||
| William Christian Kuehn | Registered representative | Feb 2015 (11y) | ||
| Curtiss Arthur Lacross | Registered representative | Feb 2015 (11y) | ||
| Margaret Hardy Nolan | Registered representative | CFP | Feb 2015 (11y) | |
| Norman Richard Sarafian | Registered representative | Feb 2015 (11y) | ||
| Elizabeth A Knighton | Registered representative | Feb 2015 (11y) | ||
| Joanne Louise Fabec | Registered representative | Feb 2015 (11y) | ||
| Sarah Burbridge Lodge | Registered representative | Feb 2015 (11y) | ||
| Joseph Anthony Pellitteri | Registered representative | Mar 2015 (11y) | ||
| Kelly K Sullivan | Registered representative | Mar 2015 (11y) | ||
| Angeline Marie Lavin | Registered representative | CFA | Mar 2015 (11y) | |
| Richard Frederick Gress | Registered representative | Mar 2015 (11y) | ||
| Aaron Michael Gabrielian | Registered representative | CFP | Mar 2015 (11y) | |
| Bryan Kristian Pedersen | Registered representative | Mar 2015 (11y) | ||
| Eric Anthony Stubbs | Registered representative | Mar 2015 (11y) | ||
| Christine Sarafian Sotiri | Registered representative | Mar 2015 (11y) | ||
| Scott Mosle Waltmon | Registered representative | Mar 2015 (11y) | ||
| Douglas Harmon Stine | Registered representative | Mar 2015 (11y) | ||
| Anne Marie Metro | Registered representative | Apr 2015 (11y) | ||
| James Francis Watkinson | Registered representative | Apr 2015 (11y) | ||
| Courtney Elizabeth Mahoney | Registered representative | Apr 2015 (11y) | ||
| Ann Elizabeth Buck Kitchel | Registered representative | Apr 2015 (11y) | ||
| Michael Jon Sellinger | Registered representative | Apr 2015 (11y) | ||
| Mary Helen Jacobus | Registered representative | Apr 2015 (11y) | ||
| Brian James Friday | Registered representative | CFP | Apr 2015 (11y) | |
| Eric Anthony Gregory | Registered representative | CFP | Apr 2015 (11y) | |
| David Robert Tyczynski | Registered representative | Apr 2015 (11y) | ||
| Mark Thomas Oneil | Registered representative | Apr 2015 (11y) | ||
| Megan Ewing | Registered representative | May 2015 (11y) | ||
| Garrett Jones | Registered representative | May 2015 (11y) | ||
| Kurt John Kharouf | Registered representative | May 2015 (11y) | ||
| Tammy Sue Graybill | Registered representative | Jun 2015 (11y) | ||
| Alex Neracher Fritzsche | Registered representative | Jun 2015 (11y) | ||
| Jennifer Nicosia Edgell | Registered representative | Jun 2015 (11y) | ||
| William Robert Brandenberger | Registered representative | Jun 2015 (11y) | ||
| William J. Tremont | Registered representative | Jun 2015 (11y) | ||
| Zachary Stephen George | Registered representative | Jun 2015 (11y) | ||
| Bridget Elise Hillsman | Registered representative | Jun 2015 (11y) | ||
| Kate Curcio | Registered representative | Jun 2015 (11y) | ||
| Paul Swesey | Registered representative | Jun 2015 (11y) | ||
| Dodd Newton Koeckert | Registered representative | Jun 2015 (11y) | ||
| Beth Rogers Hollister | Registered representative | Jul 2015 (11y) | ||
| Davis Bruce Johnson | Registered representative | CFP | Jul 2015 (11y) | |
| Garrett Peter Mcconnach | Registered representative | Jul 2015 (11y) | ||
| Ellen Mitsue Takagi Walsh | Registered representative | Jul 2015 (11y) | ||
| Robert Brian Cordiak | Registered representative | Jul 2015 (11y) | ||
| Matthew Charles Miller | Registered representative | Jul 2015 (11y) | ||
| Alexandra Amore Cavallaro | Registered representative | Jul 2015 (11y) | ||
| Aspasia Ioana Machairas | Registered representative | Jul 2015 (11y) | ||
| Michael Starr | Registered representative | Jul 2015 (11y) | ||
| George Eugene Peacock | Registered representative | Aug 2015 (11y) | ||
| Mari Christine Bunney | Registered representative | Aug 2015 (11y) | ||
| Katherine Audrey Copps | Registered representative | Aug 2015 (11y) | ||
| Patricia Rose Diana | Registered representative | Aug 2015 (11y) | ||
| Katie Jo Mueller | Registered representative | Aug 2015 (11y) | ||
| Halina Fiedorowicz | Registered representative | Aug 2015 (11y) | ||
| Peter William Spiekerman | Registered representative | Sep 2015 (11y) | ||
| Kipp Walberg | Registered representative | Sep 2015 (11y) | ||
| Bryan K Mcmullen | Registered representative | Sep 2015 (11y) | ||
| John Harold Hallgren | Registered representative | Sep 2015 (11y) | ||
| Andrea Noelle Lentz | Registered representative | Oct 2015 (11y) | ||
| Kent Roger Snodgrass | Registered representative | Oct 2015 (11y) | ||
| Lisa Ann Cherry | Registered representative | Oct 2015 (11y) | ||
| Robert J Boulanger | Registered representative | Oct 2015 (11y) | ||
| Gary A Peterson | Registered representative | Oct 2015 (11y) | ||
| Ron Allen Zimmermann | Registered representative | Oct 2015 (11y) | ||
| Jeffrey Alan Belstler | Registered representative | Oct 2015 (11y) | ||
| Tom Elliott | Registered representative | CFP | Oct 2015 (11y) | |
| Christopher M Kennedy | Registered representative | Oct 2015 (11y) | ||
| Conner Mars | Registered representative | Oct 2015 (11y) | ||
| Janet Fornear Kirk | Registered representative | Oct 2015 (11y) | ||
| Darryl Wayne Traweek | Registered representative | Nov 2015 (11y) | ||
| Brent Mark Howard | Registered representative | Nov 2015 (11y) | ||
| James Raymond Petrik | Registered representative | Nov 2015 (11y) | ||
| Nikki L Theriault | Registered representative | Dec 2015 (11y) | ||
| Jacquelene Nicole Hall | Registered representative | Dec 2015 (11y) | ||
| Keith Bernard Sierra | Registered representative | Dec 2015 (11y) | ||
| Ethan Deane Mendelson | Registered representative | Dec 2015 (11y) | ||
| Ryan Bockhold | Registered representative | Dec 2015 (11y) | ||
| Harry August Smith | Registered representative | Jan 2016 (11y) | ||
| Stephanie A Moreno | Registered representative | Jan 2016 (11y) | ||
| Ty Robert Spencer | Registered representative | Jan 2016 (11y) | ||
| Patricia Prentice | Registered representative | Jan 2016 (11y) | ||
| Stephanie Sue Barsness | Registered representative | Jan 2016 (11y) | ||
| Thomas Christophe Prentice | Registered representative | Jan 2016 (11y) | ||
| Young M Chung | Registered representative | Jan 2016 (11y) | ||
| Edward James Murphy | Registered representative | Jan 2016 (11y) | ||
| David H Ko | Registered representative | Jan 2016 (11y) | ||
| Andrew Jay Bailey | Registered representative | Feb 2016 (11y) | ||
| Loren E Cole | Registered representative | Feb 2016 (11y) | ||
| Michael J Occhiuto | Registered representative | Feb 2016 (11y) | ||
| Jevon H Owens | Registered representative | Feb 2016 (10y) | ||
| Steven Dimino Jr. | Registered representative | Feb 2016 (10y) | ||
| Christy Noel Hoekstra | Registered representative | Feb 2016 (10y) | ||
| Edmund Joseph Regan | Registered representative | Feb 2016 (10y) | ||
| Renae R Spehn | Registered representative | Feb 2016 (10y) | ||
| Deborah S Papa | Registered representative | Feb 2016 (10y) | ||
| Erik Allan Tobiason | Registered representative | Mar 2016 (10y) | ||
| Jessica Elise Glaser | Registered representative | Mar 2016 (10y) | ||
| James Franklyn Vandewalle | Registered representative | Mar 2016 (10y) | ||
| Troy David Wheat | Registered representative | Mar 2016 (10y) | ||
| John Patrick Somers | Registered representative | Mar 2016 (10y) | ||
| Berit Christoff Thiede | Registered representative | Mar 2016 (10y) | ||
| Norma E Whitsitt | Registered representative | CFP | Mar 2016 (10y) | |
| Kathleen A Hassenfeldt | Registered representative | Mar 2016 (10y) | ||
| Mathew Robert Gouras | Registered representative | Apr 2016 (10y) | ||
| Nanette Marie Flanagan | Registered representative | Apr 2016 (10y) | ||
| Matthew Alexander Citrano | Registered representative | Apr 2016 (10y) | ||
| Jaime M Sahlstrom | Registered representative | CFP | Apr 2016 (10y) | |
| Jamie Leigh Friendt | Registered representative | Apr 2016 (10y) | ||
| Desiree Jennifer Avina | Registered representative | Apr 2016 (10y) | ||
| Grady O. Jackson | Registered representative | Apr 2016 (10y) | ||
| Ryan S Griego | Registered representative | Apr 2016 (10y) | ||
| William Ross Allford | Registered representative | Apr 2016 (10y) | ||
| Michael John Gergen | Registered representative | Apr 2016 (10y) | ||
| Christopher David Klobe | Registered representative | May 2016 (10y) | ||
| Peter Torres | Registered representative | May 2016 (10y) | ||
| Jason Robert Kleis | Registered representative | May 2016 (10y) | ||
| John Robert Linne | Registered representative | May 2016 (10y) | ||
| Melissa Ann Steele | Registered representative | May 2016 (10y) | ||
| Corben Crismon Gailey | Registered representative | May 2016 (10y) | ||
| Kyla Marie Bodkin | Registered representative | May 2016 (10y) | ||
| Christian Phillip Friday | Registered representative | May 2016 (10y) | ||
| William Francis Xavier Bard | Registered representative | May 2016 (10y) | ||
| Jessica Mansfield Morris | Registered representative | Jun 2016 (10y) | ||
| Valentina Langmeyer | Registered representative | Jun 2016 (10y) | ||
| Courtney L Taylor | Registered representative | Jun 2016 (10y) | ||
| Daniel Stuart Stark | Registered representative | Jun 2016 (10y) | ||
| Sanya Mulhern | Registered representative | Jun 2016 (10y) | ||
| Celina Rodriguez | Registered representative | Jun 2016 (10y) | ||
| Kyle Ross Hidlebaugh | Registered representative | Jun 2016 (10y) | ||
| Susan Lynne Goffiney Walton | Registered representative | Jun 2016 (10y) | ||
| Scott Brian Ramo | Registered representative | CFP | Jun 2016 (10y) | |
| Valerie Hope Ramo | Registered representative | Jun 2016 (10y) | ||
| William Joseph Hertzog | Registered representative | Jun 2016 (10y) | ||
| William George Haring | Registered representative | Jun 2016 (10y) | ||
| Bradley Steven Haring | Registered representative | Jun 2016 (10y) | ||
| Philip John Serafine | Registered representative | Jun 2016 (10y) | ||
| Tania Kvakic | Registered representative | Jun 2016 (10y) | ||
| Brennan Patrick Dunn | Registered representative | CFP | Jun 2016 (10y) | |
| Ryan Patrick Heroff | Registered representative | Jun 2016 (10y) | ||
| Nicholas Ignatius Zinter | Registered representative | Jul 2016 (10y) | ||
| Robert Joseph Sikich | Registered representative | Jul 2016 (10y) | ||
| Blaine William Christensen | Registered representative | CFP | Jul 2016 (10y) | |
| Enrique Leal Jaen | Registered representative | Jul 2016 (10y) | ||
| Philip E Dean | Registered representative | Jul 2016 (10y) | ||
| Sam Arash David Manafi | Registered representative | CFA | Jul 2016 (10y) | |
| Henry James Murphy | Registered representative | Aug 2016 (10y) | ||
| Kevin Golden Sienko | Registered representative | Aug 2016 (10y) | ||
| Nico Anthony Sacchetti | Registered representative | Aug 2016 (10y) | ||
| Audrey Roberts Kah | Registered representative | CFP | Aug 2016 (10y) | |
| Bonnie Kathleen Mckinney | Registered representative | Aug 2016 (10y) | ||
| Gregory Taylor Bowman | Registered representative | Aug 2016 (10y) | ||
| James Joshua Zeleskey Jr | Registered representative | Aug 2016 (10y) | ||
| John Phillip Friesen | Registered representative | Aug 2016 (10y) | ||
| John Phillip Friesen | Registered representative | Aug 2016 (10y) | ||
| John Neale Mcintyre | Registered representative | Sep 2016 (10y) | ||
| Jamie Akemi Tam | Registered representative | Sep 2016 (10y) | ||
| Zachary Wesler Albert | Registered representative | Sep 2016 (10y) | ||
| Brian Arthur Marzulli | Registered representative | Sep 2016 (10y) | ||
| Darren Scott Lehrman | Registered representative | Sep 2016 (10y) | ||
| Lucille F Costa | Registered representative | Sep 2016 (10y) | ||
| Trenton Bailey Green | Registered representative | CFA | Sep 2016 (10y) | |
| Jeffrey Phillip Neumann | Registered representative | Sep 2016 (10y) | ||
| William Joseph Moreth | Registered representative | Sep 2016 (10y) | ||
| Kristi Lee Morton | Registered representative | Oct 2016 (10y) | ||
| Linda Cong Donovan | Registered representative | Oct 2016 (10y) | ||
| David B Schwartz | Registered representative | Oct 2016 (10y) | ||
| Paula Marie Guinasso | Registered representative | Oct 2016 (10y) | ||
| Thomas David Pink | Registered representative | CFP | Oct 2016 (10y) | |
| Peter Tryon Hart | Registered representative | Oct 2016 (10y) | ||
| Spencer Christian Roe | Registered representative | Oct 2016 (10y) | ||
| Kevin Gerard Toolan | Registered representative | Oct 2016 (10y) | ||
| Tina Jo Wilson | Registered representative | Oct 2016 (10y) | ||
| Paula Michelle Weese | Registered representative | Oct 2016 (10y) | ||
| John Richard Whalen | Registered representative | Oct 2016 (10y) | ||
| Peter Montgomery Kline | Registered representative | Oct 2016 (10y) | ||
| Anna Lynn Schlesinger | Registered representative | Nov 2016 (10y) | ||
| Daniel Gregory Jakuta | Registered representative | Chartered Financial Consultant | Nov 2016 (10y) | |
| David Charles Heide | Registered representative | CFP | Nov 2016 (10y) | |
| Heather Ziron | Registered representative | Nov 2016 (10y) | ||
| Lynn Michelle Bergman | Registered representative | Nov 2016 (10y) | ||
| Vanessa Julia Therese Poppie | Registered representative | Nov 2016 (10y) | ||
| David Jon Galardini | Registered representative | Nov 2016 (10y) | ||
| Andrea Fisher | Registered representative | Nov 2016 (10y) | ||
| Devin J Olson | Registered representative | Nov 2016 (10y) | ||
| Jo Anne Stibora | Registered representative | Nov 2016 (10y) | ||
| Joshua Michael Gimpelson | Registered representative | Nov 2016 (10y) | ||
| Kimberly Renee Shappee | Registered representative | Nov 2016 (10y) | ||
| Randy Scott Nelson | Registered representative | Nov 2016 (10y) | ||
| Gregory James Kraemer | Registered representative | Nov 2016 (10y) | ||
| Sydney Dawn Fox | Registered representative | Dec 2016 (10y) | ||
| Brant Michael Despathy | Registered representative | Dec 2016 (10y) | ||
| Michael Ronald Cich | Registered representative | Dec 2016 (10y) | ||
| Connor Joseph Curro | Registered representative | CFP | Dec 2016 (10y) | |
| Carolyn Ann Bambaci | Registered representative | Dec 2016 (10y) | ||
| Craig L. Redcay | Registered representative | Dec 2016 (10y) | ||
| David Michael Depaul | Registered representative | Dec 2016 (10y) | ||
| Susan Renee Hulcher | Registered representative | Dec 2016 (10y) | ||
| David Persin | Registered representative | Dec 2016 (10y) | ||
| Theodore John Simos | Registered representative | Dec 2016 (10y) | ||
| Zachary D Persin | Registered representative | Dec 2016 (10y) | ||
| Bradley Thomas Schindler | Registered representative | Dec 2016 (10y) | ||
| Clayton Charles Walters | Registered representative | Dec 2016 (10y) | ||
| Patrick John Pfahl | Registered representative | Dec 2016 (10y) | ||
| Patrick Michael Murphy | Registered representative | Dec 2016 (10y) | ||
| Andrea Elizabeth Wren | Registered representative | Dec 2016 (10y) | ||
| Austin Richard Balm | Registered representative | Jan 2017 (10y) | ||
| Dana Michelle Larsen | Registered representative | Jan 2017 (10y) | ||
| Peter Clayton Schaefer | Registered representative | Jan 2017 (10y) | ||
| Mark Edward Purcell | Registered representative | Jan 2017 (10y) | ||
| Kelly Anne Hughes | Registered representative | Jan 2017 (10y) | ||
| Jeffrey David Peifly | Registered representative | CFP | Jan 2017 (10y) | |
| Kaj Andrew Edstrom | Registered representative | Jan 2017 (10y) | ||
| Mark James Smith | Registered representative | Jan 2017 (10y) | ||
| Steven E Culbert | Registered representative | Jan 2017 (10y) | ||
| Robert James Gipp | Registered representative | Jan 2017 (10y) | ||
| Gregory D Lunak | Registered representative | CFP | Jan 2017 (10y) | |
| Matthew James Quigley | Registered representative | Jan 2017 (10y) | ||
| Joseph Aaron Bennick | Registered representative | Jan 2017 (10y) | ||
| Kevin Michael Clouse | Registered representative | Jan 2017 (10y) | ||
| Holly Linnea Geer | Registered representative | Jan 2017 (10y) | ||
| Irada Ibrahimova | Registered representative | Feb 2017 (9y) | ||
| Lynne M Grimson | Registered representative | Feb 2017 (9y) | ||
| Michael Scott Heisick | Registered representative | Feb 2017 (9y) | ||
| Jessica Marie Dittrich | Registered representative | Feb 2017 (9y) | ||
| Kyle Nielsen | Registered representative | CFP | Feb 2017 (9y) | |
| Deette Rochelle Jonas | Registered representative | Feb 2017 (9y) | ||
| John K Spies | Registered representative | Feb 2017 (9y) | ||
| Daniel T Sullivan | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Norman Charles Schaffer | Registered representative | Mar 2017 (9y) | ||
| Angela Alcorn O'leary | Registered representative | Mar 2017 (9y) | ||
| Christie Marie Treat | Registered representative | Mar 2017 (9y) | ||
| Janet Marie Sears | Registered representative | Mar 2017 (9y) | ||
| Sarah S Jackson | Registered representative | Mar 2017 (9y) | ||
| Alexander K Leith | Registered representative | Mar 2017 (9y) | ||
| David Frederic Milowe | Registered representative | Mar 2017 (9y) | ||
| Henry Bain Gill | Registered representative | Mar 2017 (9y) | ||
| James Anthony Mcnamara | Registered representative | Mar 2017 (9y) | ||
| Jeffery Joseph Carloni | Registered representative | Mar 2017 (9y) | ||
| Joseph Robert Marek | Registered representative | Mar 2017 (9y) | ||
| Peter Louis Gregory | Registered representative | Mar 2017 (9y) | ||
| Richard John Batten | Registered representative | Mar 2017 (9y) | ||
| Ross Evan Feigen | Registered representative | Mar 2017 (9y) | ||
| Christopher Byron Shafer | Registered representative | Mar 2017 (9y) | ||
| Christopher Thomas Seefeldt | Registered representative | Mar 2017 (9y) | ||
| Katherine A Robbie | Registered representative | Apr 2017 (9y) | ||
| Ana Delia Swedberg | Registered representative | Apr 2017 (9y) | ||
| Michelle Kay Sterkel | Registered representative | Apr 2017 (9y) | ||
| Hector Cesar Maldonado | Registered representative | Apr 2017 (9y) | ||
| Ryan Thomas Jex | Registered representative | Apr 2017 (9y) | ||
| Christopher Gerald Clackson | Registered representative | Apr 2017 (9y) | ||
| Nathaniel D Hoch | Registered representative | Apr 2017 (9y) | ||
| Thomas John Tarka | Registered representative | Apr 2017 (9y) | ||
| Edward Albert Schultz | Registered representative | Apr 2017 (9y) | ||
| Joseph Martin Piche | Registered representative | Apr 2017 (9y) | ||
| Tyanna Therese Graner | Registered representative | Apr 2017 (9y) | ||
| Rosa A Mazzone | Registered representative | CFP | Apr 2017 (9y) | |
| Scott J Edwards | Registered representative | Apr 2017 (9y) | ||
| George Richard Holohan | Registered representative | Apr 2017 (9y) | ||
| Michele Suzette Arbogast | Registered representative | Apr 2017 (9y) | ||
| Christopher Allen Cassaday | Registered representative | May 2017 (9y) | ||
| Paul Douglas Debey | Registered representative | May 2017 (9y) | ||
| Marlene Rosemarie Wilson | Registered representative | May 2017 (9y) | ||
| Jodi Lynn Jenson | Registered representative | May 2017 (9y) | ||
| Justin Paul Ferdula | Registered representative | CFP | May 2017 (9y) | |
| Melissa Ann Moser | Registered representative | May 2017 (9y) | ||
| Alexander Hoffmann Davis | Registered representative | May 2017 (9y) | ||
| Annie Y Tse | Registered representative | May 2017 (9y) | ||
| Graham Dylan Okelly | Registered representative | May 2017 (9y) | ||
| Grant David Devaul | Registered representative | May 2017 (9y) | ||
| Mary Patricia Moses | Registered representative | May 2017 (9y) | ||
| Sheila J Golden | Registered representative | May 2017 (9y) | ||
| Alexander M Sugar | Registered representative | CFP | May 2017 (9y) | |
| Carolynn Elizabeth Ashton | Registered representative | May 2017 (9y) | ||
| Tonya Ruth Nichols | Registered representative | May 2017 (9y) | ||
| Daniel M Starr | Registered representative | May 2017 (9y) | ||
| Kristina B Svejda | Registered representative | May 2017 (9y) | ||
| Robert Wellington Hawley | Registered representative | May 2017 (9y) | ||
| Joel R Mullins | Registered representative | Jun 2017 (9y) | ||
| Brooke C Johnsen | Registered representative | CFP | Jun 2017 (9y) | |
| Elliott Mitchell Hollub | Registered representative | Jun 2017 (9y) | ||
| Benjamin J Freeman | Registered representative | Jun 2017 (9y) | ||
| Carter Harrison Freeman | Registered representative | CFP | Jun 2017 (9y) | |
| Kelly A Kalas | Registered representative | Jun 2017 (9y) | ||
| Lubna Hasan Qureshi | Registered representative | Jun 2017 (9y) | ||
| Daniel Patrick Heenan | Registered representative | Jun 2017 (9y) | ||
| Garrett Henry Nehl | Registered representative | Jun 2017 (9y) | ||
| John Anthony Franz | Registered representative | Jun 2017 (9y) | ||
| Walter J Mack | Registered representative | Jun 2017 (9y) | ||
| David Brandt Haring | Registered representative | Jun 2017 (9y) | ||
| William Joseph Smart | Registered representative | Jun 2017 (9y) | ||
| Lisa Ann Rash | Registered representative | Jun 2017 (9y) | ||
| Cassandra Kai Driver | Registered representative | Jul 2017 (9y) | ||
| David Michael Caccese | Registered representative | CFP | Jul 2017 (9y) | |
| Jacqueline Sarette Georgio | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Mary Brainerd Dujovski | Registered representative | Jul 2017 (9y) | ||
| Matthew Hans Weidinger | Registered representative | Jul 2017 (9y) | ||
| Charles Elliot Sloane | Registered representative | Jul 2017 (9y) | ||
| Heather Elizabeth Reed | Registered representative | Jul 2017 (9y) | ||
| Brian Donovan Cleary | Registered representative | Jul 2017 (9y) | ||
| Kalee Jo Dawson | Registered representative | Jul 2017 (9y) | ||
| Carey Foster Bosch | Registered representative | Jul 2017 (9y) | ||
| Douglas Andrew Sharon | Registered representative | Jul 2017 (9y) | ||
| Timothy Bruce Distefano | Registered representative | Jul 2017 (9y) | ||
| Emily Marie Kerne | Registered representative | Jul 2017 (9y) | ||
| Jonathan Philip Nash | Registered representative | Jul 2017 (9y) | ||
| Matthew William Solnitzky | Registered representative | Jul 2017 (9y) | ||
| Matthew James Wunder | Registered representative | Jul 2017 (9y) | ||
| Leah Drake Wetzel | Registered representative | Aug 2017 (9y) | ||
| Evan Ehrhardt Malone | Registered representative | Aug 2017 (9y) | ||
| Amanda Nicole Sabo | Registered representative | Aug 2017 (9y) | ||
| Bradley Alexander Finnigan | Registered representative | Aug 2017 (9y) | ||
| Robert Allen Smith | Registered representative | Aug 2017 (9y) | ||
| Johanna Estela Rizo Noales | Registered representative | Aug 2017 (9y) | ||
| Kathryn Gwynne Hayes | Registered representative | Aug 2017 (9y) | ||
| Michael Thomas Clark | Registered representative | Aug 2017 (9y) | ||
| Lauren Nicole Seim | Registered representative | Aug 2017 (9y) | ||
| James Lewis Vandenberg | Registered representative | Aug 2017 (9y) | ||
| Jeremy Christopher King | Registered representative | Aug 2017 (9y) | ||
| Todd Randle Krempasky | Registered representative | Aug 2017 (9y) | ||
| Heather Dawn Johnson | Registered representative | CFP | Aug 2017 (9y) | |
| Yale Richard Hoffberg | Registered representative | CFP | Aug 2017 (9y) | |
| Amy Kuo Caffese | Registered representative | Aug 2017 (9y) | ||
| Bruce Culver Georgi | Registered representative | Aug 2017 (9y) | ||
| Gerald Lee Barkley | Registered representative | Aug 2017 (9y) | ||
| Jared Richard Smith | Registered representative | Aug 2017 (9y) | ||
| Matthew Quinlon Forrey | Registered representative | Aug 2017 (9y) | ||
| Cason D Swinn | Registered representative | Aug 2017 (9y) | ||
| James Todd Carbonell | Registered representative | Aug 2017 (9y) | ||
| Laura N Moulin | Registered representative | Aug 2017 (9y) | ||
| Tracy Annette Holt | Registered representative | Aug 2017 (9y) | ||
| Chad Eberly | Registered representative | Sep 2017 (9y) | ||
| Dennis Joseph Fitzgerald | Registered representative | Sep 2017 (9y) | ||
| Brittany Marie Matthies | Registered representative | Sep 2017 (9y) | ||
| William Wymond Cabell | Registered representative | Sep 2017 (9y) | ||
| Christopher Eric Pollitt | Registered representative | Sep 2017 (9y) | ||
| Edward William Henry Kissinger | Registered representative | CFP | Sep 2017 (9y) | |
| Michael Richard Kilburn | Registered representative | Oct 2017 (9y) | ||
| Christine Michelle Buckley | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| Sean Gray | Registered representative | Oct 2017 (9y) | ||
| William Ernest Stockum | Registered representative | Oct 2017 (9y) | ||
| Matthew Christopher Kullman | Registered representative | Oct 2017 (9y) | ||
| Paul Michael Dirks | Registered representative | Oct 2017 (9y) | ||
| George Carmelo Dominello | Registered representative | Oct 2017 (9y) | ||
| William Bruce Dominello | Registered representative | CFP | Oct 2017 (9y) | |
| Kelsey Lynn Smith | Registered representative | Oct 2017 (9y) | ||
| Mary Caitlin Hamby | Registered representative | Oct 2017 (9y) | ||
| Annelyn Alita Lanuza | Registered representative | Oct 2017 (9y) | ||
| Alan Edward Goldstein | Registered representative | Oct 2017 (9y) | ||
| Cengiz Niyazi Volkan | Registered representative | Oct 2017 (9y) | ||
| Larry Kirk Prutch | Registered representative | Oct 2017 (9y) | ||
| Neil K Fujita | Registered representative | Oct 2017 (9y) | ||
| Teresa Carmen Ortega | Registered representative | Oct 2017 (9y) | ||
| Paul Alexander Shores | Registered representative | Oct 2017 (9y) | ||
| George Brian Castrillon | Registered representative | Oct 2017 (9y) | ||
| John Alexander Dunn | Registered representative | Oct 2017 (9y) | ||
| Alfred Llewellyn Hobgood | Registered representative | Nov 2017 (9y) | ||
| Andrew Harrison Peatross | Registered representative | Nov 2017 (9y) | ||
| Carsten Frederiksen | Registered representative | Nov 2017 (9y) | ||
| Daniel James Sherman | Registered representative | Nov 2017 (9y) | ||
| Janet Lee Galusha | Registered representative | Nov 2017 (9y) | ||
| Paul Vincent Hendershot | Registered representative | Nov 2017 (9y) | ||
| Angela M Tyo | Registered representative | Nov 2017 (9y) | ||
| J Fredrick Martinez | Registered representative | Nov 2017 (9y) | ||
| Nancy Lewis Winborne | Registered representative | Nov 2017 (9y) | ||
| Joseph Andrew Friend | Registered representative | Nov 2017 (9y) | ||
| Joseph Stradling Ballantyne | Registered representative | Nov 2017 (9y) | ||
| Lisa Lerum | Registered representative | Nov 2017 (9y) | ||
| Marc Richard Sancton | Registered representative | Nov 2017 (9y) | ||
| Timothy Jacob Cusack | Registered representative | Nov 2017 (9y) | ||
| Kirsten Amanda Tate | Registered representative | Nov 2017 (9y) | ||
| David John Hutchinson | Registered representative | Nov 2017 (9y) | ||
| David Allen Poulin | Registered representative | Nov 2017 (9y) | ||
| Dennis P Wolf | Registered representative | Nov 2017 (9y) | ||
| Maryanne Waldman | Registered representative | Nov 2017 (9y) | ||
| Timothy Paul Woods | Registered representative | Nov 2017 (9y) | ||
| Stacy Hadnot Quiri | Registered representative | CFP | Nov 2017 (9y) | |
| Anita Marie Licari | Registered representative | CFP | Nov 2017 (9y) | |
| Bruce Scott Gelfand | Registered representative | Nov 2017 (9y) | ||
| Cara Marie Richards Kickham | Registered representative | CFP | Nov 2017 (9y) | |
| Debra Marie Carlson | Registered representative | Nov 2017 (9y) | ||
| Elizabeth Ashley Foti | Registered representative | Nov 2017 (9y) | ||
| Stephen Walter Pendergast | Registered representative | Nov 2017 (9y) | ||
| Edmund David Foster | Registered representative | Nov 2017 (9y) | ||
| Kira Ayn Napolitano | Registered representative | Nov 2017 (9y) | ||
| Mark F. Santia | Registered representative | Nov 2017 (9y) | ||
| Martin Joseph Hare | Registered representative | Nov 2017 (9y) | ||
| Winola Sue Roy | Registered representative | Dec 2017 (9y) | ||
| Joseph Francis Gill | Registered representative | Dec 2017 (9y) | ||
| Jessica Elyse Heberger | Registered representative | Dec 2017 (9y) | ||
| Leo James Mcmanus | Registered representative | Dec 2017 (9y) | ||
| Andrew Rizzi Stromwall | Registered representative | Dec 2017 (9y) | ||
| Michael James Robert Bryant | Registered representative | Dec 2017 (9y) | ||
| Ryan James Rogneby | Registered representative | CFA | Dec 2017 (9y) | |
| Braxton Jude Mouton | Registered representative | Jan 2018 (9y) | ||
| Carlton Brien Pace | Registered representative | Jan 2018 (9y) | ||
| Lisa Ann Ball | Registered representative | Jan 2018 (9y) | ||
| Gary Anthony Bruno | Registered representative | Jan 2018 (9y) | ||
| Adam Mcdonnell Reed | Registered representative | Jan 2018 (9y) | ||
| Matthew Peter Machaiek | Registered representative | Jan 2018 (9y) | ||
| Robert Michael Caiaze | Registered representative | Jan 2018 (9y) | ||
| Lindsay Elizabeth Foelber | Registered representative | Feb 2018 (8y) | ||
| Alexander Daniel Stetson | Registered representative | Feb 2018 (8y) | ||
| Susan Ann Nelson | Registered representative | Feb 2018 (8y) | ||
| John Randolph Enders | Registered representative | Feb 2018 (8y) | ||
| Jedidiah Avery Solomon | Registered representative | CFP | Feb 2018 (8y) | |
| Todd David Watson | Registered representative | Feb 2018 (8y) | ||
| Kyle Lanning Clements | Registered representative | CFP | Feb 2018 (8y) | |
| Marjorie Selby Jurek | Registered representative | Feb 2018 (8y) | ||
| William Patrick Langdon | Registered representative | Feb 2018 (8y) | ||
| Jacqueline Alexis Milowe | Registered representative | CFP | Feb 2018 (8y) | |
| Peter John Mangano | Registered representative | Mar 2018 (8y) | ||
| Shawn Michael Finn | Registered representative | CFP | Mar 2018 (8y) | |
| Jeffrey Lucas | Registered representative | Mar 2018 (8y) | ||
| Brian James Kerwin | Registered representative | Mar 2018 (8y) | ||
| Steven Nadler | Registered representative | Mar 2018 (8y) | ||
| Tracy M Hoekstra | Registered representative | Mar 2018 (8y) | ||
| Grant Matthew Farley | Registered representative | Mar 2018 (8y) | ||
| Kelly Lynn Oates | Registered representative | Mar 2018 (8y) | ||
| Matthew Joseph Gribben | Registered representative | Mar 2018 (8y) | ||
| Douglas Keys Gapper | Registered representative | Mar 2018 (8y) | ||
| Amanda Yvonne Peetz | Registered representative | Mar 2018 (8y) | ||
| Thomas Patrick Collins | Registered representative | Mar 2018 (8y) | ||
| Alecia Lee Mc Kay Jones | Registered representative | CFP | Mar 2018 (8y) | |
| Chad Justin Hodges | Registered representative | Mar 2018 (8y) | ||
| Gustavo Corte | Registered representative | Apr 2018 (8y) | ||
| James Patrick Dunn | Registered representative | Apr 2018 (8y) | ||
| Allison Claire Chamberlain | Registered representative | Apr 2018 (8y) | ||
| Daniel Lord Austin | Registered representative | Apr 2018 (8y) | ||
| Margaret Lee Mayer | Registered representative | Apr 2018 (8y) | ||
| Kumi Goaneh | Registered representative | Apr 2018 (8y) | ||
| Nicholas Wayne Hansen | Registered representative | Apr 2018 (8y) | ||
| Angelica Rose Nelson | Registered representative | Apr 2018 (8y) | ||
| Eileen Marie Martyn | Registered representative | Apr 2018 (8y) | ||
| Robert R Impelluso | Registered representative | Apr 2018 (8y) | ||
| Thomas James Bivona | Registered representative | Apr 2018 (8y) | ||
| Rizza Cornista Hopkins | Registered representative | Apr 2018 (8y) | ||
| Lori A Carroll | Registered representative | Apr 2018 (8y) | ||
| Kirt Owen Fredericks | Registered representative | Apr 2018 (8y) | ||
| Natalie Lynn Lebaron | Registered representative | Apr 2018 (8y) | ||
| Jasmine Murakami | Registered representative | May 2018 (8y) | ||
| Timothy John Cecchin | Registered representative | May 2018 (8y) | ||
| Travis Townsend | Registered representative | May 2018 (8y) | ||
| Carter Joseph Bidwick | Registered representative | May 2018 (8y) | ||
| Daniel Sandoval | Registered representative | May 2018 (8y) | ||
| Samuel Roger Meidl | Registered representative | May 2018 (8y) | ||
| Jonas Jeffrey Abulencia | Registered representative | May 2018 (8y) | ||
| John Manley Betz | Registered representative | May 2018 (8y) | ||
| Peter Richards De Castro | Registered representative | May 2018 (8y) | ||
| Christopher Albert Jacobs | Registered representative | May 2018 (8y) | ||
| Cary Joseph Tucker | Registered representative | May 2018 (8y) | ||
| Joyce Miani | Registered representative | May 2018 (8y) | ||
| Prescott Thomas Wing | Registered representative | CFP | May 2018 (8y) | |
| Robert George Dillenback | Registered representative | May 2018 (8y) | ||
| Robert Joseph Frey | Registered representative | May 2018 (8y) | ||
| Corinne Christine Patteson | Registered representative | May 2018 (8y) | ||
| Eric Stephen Dion | Registered representative | May 2018 (8y) | ||
| Gary Neil Weissman | Registered representative | May 2018 (8y) | ||
| Caryn Johnson | Registered representative | May 2018 (8y) | ||
| Daniel Wilson Johnson | Registered representative | May 2018 (8y) | ||
| John R Prince | Registered representative | May 2018 (8y) | ||
| Kimberly Johnson | Registered representative | May 2018 (8y) | ||
| Chester Leo Wilson | Registered representative | May 2018 (8y) | ||
| Jonathan Pastor Gomez | Registered representative | May 2018 (8y) | ||
| Alexander J Armbruster | Registered representative | May 2018 (8y) | ||
| Christopher P Wilkens | Registered representative | May 2018 (8y) | ||
| Joy Elizabeth Dalberg | Registered representative | CFP | May 2018 (8y) | |
| Elaine Edith Garcia | Registered representative | May 2018 (8y) | ||
| James Martin Aid | Registered representative | Jun 2018 (8y) | ||
| David G Mcclure | Registered representative | Jun 2018 (8y) | ||
| Kent Steven Sipola | Registered representative | Jun 2018 (8y) | ||
| Alexandra Katelyn Shuchuk | Registered representative | CFP | Jun 2018 (8y) | |
| Jordan Kailipani'o Bastien | Registered representative | Jun 2018 (8y) | ||
| Ryan Keith Johnston | Registered representative | CFP | Jun 2018 (8y) | |
| Aaron Lynn Foster | Registered representative | Jun 2018 (8y) | ||
| Brian Robert Bell | Registered representative | Jun 2018 (8y) | ||
| Jesse Terry Modahl | Registered representative | Jun 2018 (8y) | ||
| Benjamin Bryce Tener | Registered representative | Jun 2018 (8y) | ||
| Paul Eric Karcher | Registered representative | Jun 2018 (8y) | ||
| Matthew Eric Haver | Registered representative | Jul 2018 (8y) | ||
| James J Senderling | Registered representative | Jul 2018 (8y) | ||
| John Paul Robbie | Registered representative | Jul 2018 (8y) | ||
| Matthew Kolb | Registered representative | Jul 2018 (8y) | ||
| Scott Andrew Befort | Registered representative | Jul 2018 (8y) | ||
| Nicholas Greene Denicke | Registered representative | Jul 2018 (8y) | ||
| William Dale Whittington | Registered representative | Jul 2018 (8y) | ||
| Brittney Ann Fields Morrison | Registered representative | CFP | Jul 2018 (8y) | |
| Michael Pair Gee | Registered representative | Jul 2018 (8y) | ||
| Andrea Savva | Registered representative | Jul 2018 (8y) | ||
| Christopher M Olson | Registered representative | Jul 2018 (8y) | ||
| Eric Lawson Woo | Registered representative | CFP | Jul 2018 (8y) | |
| Matthew Farley Lane | Registered representative | Jul 2018 (8y) | ||
| Thomas Wilson Wade | Registered representative | Jul 2018 (8y) | ||
| Frederick Oldshue Robertshaw | Registered representative | Jul 2018 (8y) | ||
| Garrett Alexander Kunkel | Registered representative | CFP | Jul 2018 (8y) | |
| Emily Elizabeth Glick | Registered representative | Jul 2018 (8y) | ||
| Marc L Harwood | Registered representative | Aug 2018 (8y) | ||
| Benjamin Joseph Heise | Registered representative | Aug 2018 (8y) | ||
| Ryan James Nottestad | Registered representative | Aug 2018 (8y) | ||
| Gary Lewis Nelson | Registered representative | Aug 2018 (8y) | ||
| Derek Michael Engler | Registered representative | Aug 2018 (8y) | ||
| Nina Marie Severini | Registered representative | Aug 2018 (8y) | ||
| Todd Michael Wiedenfeld | Registered representative | Aug 2018 (8y) | ||
| Anthony Michael Marrelli | Registered representative | Aug 2018 (8y) | ||
| Mary Elizabeth Dusablon | Registered representative | Aug 2018 (8y) | ||
| Adam S. Kreutner | Registered representative | Aug 2018 (8y) | ||
| Brian Christian Dent | Registered representative | Aug 2018 (8y) | ||
| Michael Lindsay Greth | Registered representative | Aug 2018 (8y) | ||
| Felipe Santiago Blanco | Registered representative | Aug 2018 (8y) | ||
| Timothy Gerald Ernste | Registered representative | Aug 2018 (8y) | ||
| Christopher Lawrence Phillips | Registered representative | Aug 2018 (8y) | ||
| Joseph Ijong Chu | Registered representative | Aug 2018 (8y) | ||
| Philip Tim Garigan | Registered representative | Sep 2018 (8y) | ||
| Trevor David Heide | Registered representative | Sep 2018 (8y) | ||
| Farralon Wilson Udom | Registered representative | Sep 2018 (8y) | ||
| Alexander David Coulter | Registered representative | Sep 2018 (8y) | ||
| Tatyana Litvak Riley | Registered representative | Sep 2018 (8y) | ||
| Wayne William Schluchter | Registered representative | Sep 2018 (8y) | ||
| Marilyn June Black | Registered representative | Sep 2018 (8y) | ||
| Harrison Matthew Brown | Registered representative | CFP | Sep 2018 (8y) | |
| Laurie Dee Palmblad | Registered representative | Sep 2018 (8y) | ||
| Christopher James Coburn | Registered representative | Sep 2018 (8y) | ||
| Michael Paul Lindvall | Registered representative | Sep 2018 (8y) | ||
| Terry Alan Moen | Registered representative | Sep 2018 (8y) | ||
| Blaine Edmond Gibson | Registered representative | CFP | Sep 2018 (8y) | |
| Nicholas Cosmo Angilletta | Registered representative | Sep 2018 (8y) | ||
| Paul Eric Westphal | Registered representative | Sep 2018 (8y) | ||
| Paula Stephanie Burns | Registered representative | Sep 2018 (8y) | ||
| Tyler Randall Briggs | Registered representative | CFP | Sep 2018 (8y) | |
| Richard Charles Knowlton | Registered representative | Sep 2018 (8y) | ||
| Rosanne Fabian Kelly | Registered representative | Sep 2018 (8y) | ||
| Emily Elizabeth Jean Gleiss | Registered representative | Oct 2018 (8y) | ||
| Robin Johnson | Registered representative | Oct 2018 (8y) | ||
| Clive Grady Buchan | Registered representative | Oct 2018 (8y) | ||
| Stephen Andrew Braatz | Registered representative | Oct 2018 (8y) | ||
| David Aaron Margolies | Registered representative | Oct 2018 (8y) | ||
| Brooke Stephens | Registered representative | Oct 2018 (8y) | ||
| Gary Brian Carson | Registered representative | Oct 2018 (8y) | ||
| Judy Ann Cameron | Registered representative | Oct 2018 (8y) | ||
| Alfred Jude Clemens | Registered representative | Oct 2018 (8y) | ||
| Nicholas Blaise Ciriello | Registered representative | Oct 2018 (8y) | ||
| Richard A Petrie | Registered representative | Oct 2018 (8y) | ||
| Alixandra Therese Beaman | Registered representative | CFP | Oct 2018 (8y) | |
| David Luciano | Registered representative | Oct 2018 (8y) | ||
| Brianne Lanae Aubin | Registered representative | Oct 2018 (8y) | ||
| Earl Bradley Bosart | Registered representative | CFP | Oct 2018 (8y) | |
| Jennifer Lynn Connor | Registered representative | Oct 2018 (8y) | ||
| Robert Halsey Bosart | Registered representative | Oct 2018 (8y) | ||
| Donald Devitto | Registered representative | Oct 2018 (8y) | ||
| Gordon Richard Nearing | Registered representative | CFP | Oct 2018 (8y) | |
| Pamela Chilton Dallas | Registered representative | Oct 2018 (8y) | ||
| Nicole Molineux | Registered representative | Oct 2018 (8y) | ||
| Chad Gregory Greenholtz | Registered representative | Oct 2018 (8y) | ||
| Michael Henry Martin | Registered representative | Oct 2018 (8y) | ||
| Jordan Sivan Perschel | Registered representative | Oct 2018 (8y) | ||
| Brandon Todd York | Registered representative | Nov 2018 (8y) | ||
| Christopher Michael Spence | Registered representative | Nov 2018 (8y) | ||
| Brent Allen Garrett | Registered representative | Nov 2018 (8y) | ||
| Cherie Lynn Wright | Registered representative | Nov 2018 (8y) | ||
| Joann Elizabeth Schroeder | Registered representative | Nov 2018 (8y) | ||
| Bernard Fisch | Registered representative | Nov 2018 (8y) | ||
| Dustin James Brown | Registered representative | Nov 2018 (8y) | ||
| Curt Byron Allen | Registered representative | Nov 2018 (8y) | ||
| James Wides Goralnik | Registered representative | Nov 2018 (8y) | ||
| Joshua Matthew Croy | Registered representative | Nov 2018 (8y) | ||
| Walter Corea | Registered representative | Nov 2018 (8y) | ||
| Dawn Marie Barrett | Registered representative | Nov 2018 (8y) | ||
| Vincenzo Turano | Registered representative | Nov 2018 (8y) | ||
| Andrew Mac Leod Westerkom | Registered representative | Nov 2018 (8y) | ||
| Benjamin Leistikow | Registered representative | Nov 2018 (8y) | ||
| John Joseph Hughes | Registered representative | Nov 2018 (8y) | ||
| Stephanie Joan Lantigua | Registered representative | Nov 2018 (8y) | ||
| John Andrew Randolph | Registered representative | Dec 2018 (8y) | ||
| Rebecca Ruth Stephens | Registered representative | Dec 2018 (8y) | ||
| Michael William Cormier | Registered representative | Dec 2018 (8y) | ||
| Maria R Powers | Registered representative | Dec 2018 (8y) | ||
| Nicole Paige Bailey | Registered representative | CFP | Dec 2018 (8y) | |
| Russell Francis Lewis | Registered representative | Dec 2018 (8y) | ||
| Susan Theresa Franklin | Registered representative | Dec 2018 (8y) | ||
| Natasha Peppa Bulpin | Registered representative | Dec 2018 (8y) | ||
| Cristina Isabel Seara | Registered representative | Dec 2018 (8y) | ||
| Christian Nesset Tietz | Registered representative | Dec 2018 (8y) | ||
| Ross Michael Ferrarini | Registered representative | Dec 2018 (8y) | ||
| Belinda Burgin Brill | Registered representative | Dec 2018 (8y) | ||
| Melissa M Pleasants | Registered representative | Jan 2019 (8y) | ||
| Michael Paul Deorocki | Registered representative | Jan 2019 (8y) | ||
| Johnathon Panter | Registered representative | Jan 2019 (8y) | ||
| Mark Eliot Mc Kinney | Registered representative | Jan 2019 (8y) | ||
| Susan Hawes Stewart | Registered representative | Jan 2019 (8y) | ||
| Taylor Erin Stewart | Registered representative | CFP | Jan 2019 (8y) | |
| Julie Marie Clark | Registered representative | Jan 2019 (8y) | ||
| Paul Henri Poulin | Registered representative | CFP | Jan 2019 (8y) | |
| Rick L Gabelman | Registered representative | Jan 2019 (8y) | ||
| Christina Joy Huggar | Registered representative | Jan 2019 (8y) | ||
| Joel Charles Kozlak | Registered representative | Jan 2019 (8y) | ||
| Margaret H Philbin | Registered representative | Jan 2019 (8y) | ||
| Peter Gustave Opp | Registered representative | Jan 2019 (8y) | ||
| Daniel Dominello | Registered representative | Jan 2019 (8y) | ||
| Jennifer Elaine Mitchell | Registered representative | Jan 2019 (8y) | ||
| Julie Kay Asher | Registered representative | Jan 2019 (8y) | ||
| Philip Holden Fett | Registered representative | Feb 2019 (8y) | ||
| Ramakrishna Gali | Registered representative | Feb 2019 (8y) | ||
| Lindsay Ann Strong | Registered representative | Feb 2019 (7y) | ||
| Philip Michael D'entremont | Registered representative | Feb 2019 (7y) | ||
| Courtney Jo Rodriguez | Registered representative | Feb 2019 (7y) | ||
| Gabrielle Mary Clemens | Registered representative | Feb 2019 (7y) | ||
| Matthew C Haverty | Registered representative | Feb 2019 (7y) | ||
| Robin Surratt Long | Registered representative | Feb 2019 (7y) | ||
| Steven Carl Runnion | Registered representative | Feb 2019 (7y) | ||
| Blake Peter Epstein | Registered representative | Feb 2019 (7y) | ||
| Chris Van Dusen | Registered representative | Feb 2019 (7y) | ||
| Christopher Gerard Steinhauer | Registered representative | CFP | Feb 2019 (7y) | |
| Erin M Zegar | Registered representative | Feb 2019 (7y) | ||
| Michael A. Castillo | Registered representative | Feb 2019 (7y) | ||
| Roseann Gannon | Registered representative | Feb 2019 (7y) | ||
| James Brian Lucas Sugay | Registered representative | Feb 2019 (7y) | ||
| Melissa L Krupa | Registered representative | Feb 2019 (7y) | ||
| Angelina Marie Gress | Registered representative | Feb 2019 (7y) | ||
| Steven Alexander Rice | Registered representative | CFP CFA | Mar 2019 (7y) | |
| Elizabeth Ann Larson | Registered representative | Mar 2019 (7y) | ||
| Jennifer Foronda | Registered representative | Mar 2019 (7y) | ||
| Cameron Paul Cullotta | Registered representative | Mar 2019 (7y) | ||
| Lu Na Xu | Registered representative | Mar 2019 (7y) | ||
| Marc Timothy Pasquariello Williams | Registered representative | Mar 2019 (7y) | ||
| Steven A Gordon | Registered representative | CFP | Mar 2019 (7y) | |
| Andrew Donald Cowan | Registered representative | CFA | Mar 2019 (7y) | |
| Cord A.J. Houle | Registered representative | Mar 2019 (7y) | ||
| Michelle Rose Schiro | Registered representative | Mar 2019 (7y) | ||
| Victoria Ann Cagnon | Registered representative | Mar 2019 (7y) | ||
| Marc Christopher Mcallister | Registered representative | Mar 2019 (7y) | ||
| Taylor William Johnson | Registered representative | Mar 2019 (7y) | ||
| Robert Collin Royce | Registered representative | Apr 2019 (7y) | ||
| Stephen Andrew Butterfield | Registered representative | Apr 2019 (7y) | ||
| David Michael Wolfe | Registered representative | Apr 2019 (7y) | ||
| Michael Francis Byrne | Registered representative | Apr 2019 (7y) | ||
| Jayson Charles Kaus | Registered representative | CFP | Apr 2019 (7y) | |
| Tamara Lynn Gessay | Registered representative | Apr 2019 (7y) | ||
| Harold Louis Green | Registered representative | Apr 2019 (7y) | ||
| Christopher Edgar Cron | Registered representative | Apr 2019 (7y) | ||
| Thomas Anthony Keiser | Registered representative | Apr 2019 (7y) | ||
| Nancy Jean Sparks | Registered representative | Apr 2019 (7y) | ||
| Matthew B Berg | Registered representative | Apr 2019 (7y) | ||
| Morgan Lindsey Edwards | Registered representative | Apr 2019 (7y) | ||
| Tara Nicole Ysquierdo Krouse | Registered representative | Apr 2019 (7y) | ||
| Diane Lynn Grube | Registered representative | May 2019 (7y) | ||
| Robert Charles Daly | Registered representative | May 2019 (7y) | ||
| David Benjamin Hollenberg | Registered representative | May 2019 (7y) | ||
| Debra M Barnes | Registered representative | May 2019 (7y) | ||
| Steven David Lewis | Registered representative | May 2019 (7y) | ||
| Dominika Jagoda Lawecki | Registered representative | May 2019 (7y) | ||
| Alexandra Elizabeth Nolan Jamros | Registered representative | May 2019 (7y) | ||
| Brian Wayne Koch | Registered representative | CFA | May 2019 (7y) | |
| Kristin G Yapel | Registered representative | May 2019 (7y) | ||
| Glen J. Schwesinger | Registered representative | May 2019 (7y) | ||
| Randall Dean Hartley | Registered representative | May 2019 (7y) | ||
| Gerard Edward Heymann | Registered representative | May 2019 (7y) | ||
| Aubrey Maureen Greco Kubik | Registered representative | May 2019 (7y) | ||
| Benjamin Frank Joel | Registered representative | May 2019 (7y) | ||
| Brian O Walter | Registered representative | May 2019 (7y) | ||
| George Alan Riemer | Registered representative | May 2019 (7y) | ||
| Shannon Lynn Grimes | Registered representative | May 2019 (7y) | ||
| Alexander Martin Lavalle | Registered representative | May 2019 (7y) | ||
| Matthew Manning | Registered representative | CFP | May 2019 (7y) | |
| Byron Neal Fox | Registered representative | May 2019 (7y) | ||
| Cynthia Lou Penner | Registered representative | May 2019 (7y) | ||
| Jason Stuart Dalen | Registered representative | May 2019 (7y) | ||
| Jana Danielle Philips | Registered representative | May 2019 (7y) | ||
| Brooke Laurel Riemer | Registered representative | Jun 2019 (7y) | ||
| Jeremy Rogue Vlach | Registered representative | Jun 2019 (7y) | ||
| Michael Garrison Blockhus | Registered representative | Jun 2019 (7y) | ||
| Tammy Deanne Staub | Registered representative | Jun 2019 (7y) | ||
| Anthony John Lagowski | Registered representative | Jun 2019 (7y) | ||
| Philip M Mattek | Registered representative | Jun 2019 (7y) | ||
| Brian Joseph Corcoran | Registered representative | Jun 2019 (7y) | ||
| Kevin Len Clift | Registered representative | Jun 2019 (7y) | ||
| Kyle Frederick Clift | Registered representative | Jun 2019 (7y) | ||
| Matthew Douglas Sheldahl | Registered representative | Jun 2019 (7y) | ||
| Daniel E Crews | Registered representative | Jun 2019 (7y) | ||
| Patrick M. Heenan | Registered representative | Jun 2019 (7y) | ||
| Nicole Paragua Aguinaldo | Registered representative | Jul 2019 (7y) | ||
| Christopher Kenny | Registered representative | Jul 2019 (7y) | ||
| Nicholas Jeffrey Nelson | Registered representative | Jul 2019 (7y) | ||
| Connie Diaz | Registered representative | Jul 2019 (7y) | ||
| Daniel Joseph Enright | Registered representative | Jul 2019 (7y) | ||
| Joanna Libby Bishop | Registered representative | Jul 2019 (7y) | ||
| Sheila Lynette Gray | Registered representative | Aug 2019 (7y) | ||
| Andrew Michael Brandt | Registered representative | Aug 2019 (7y) | ||
| John Michael Daly | Registered representative | Aug 2019 (7y) | ||
| Richard Cacciapaglia | Registered representative | Aug 2019 (7y) | ||
| Hannah Reese | Registered representative | Aug 2019 (7y) | ||
| Lee Michael Dyer | Registered representative | Aug 2019 (7y) | ||
| Christopher James Loria | Registered representative | Aug 2019 (7y) | ||
| Timothy Ray Hilton | Registered representative | Aug 2019 (7y) | ||
| William Cain Stranges | Registered representative | Aug 2019 (7y) | ||
| Brandon Joseph Chandler | Registered representative | Aug 2019 (7y) | ||
| Brooke A Grimes | Registered representative | Aug 2019 (7y) | ||
| David Brian Miller | Registered representative | CFP | Aug 2019 (7y) | |
| Liz Ann Corriher | Registered representative | Aug 2019 (7y) | ||
| Donald Jay Metter | Registered representative | Aug 2019 (7y) | ||
| Gina Ricci Moore | Registered representative | Aug 2019 (7y) | ||
| Donnie Deyoung | Registered representative | Aug 2019 (7y) | ||
| Lawrence Scott Pann | Registered representative | Aug 2019 (7y) | ||
| Brandon Angelo Fancher | Registered representative | Aug 2019 (7y) | ||
| Benjamin Aldo Sicoli | Registered representative | Aug 2019 (7y) | ||
| Frank Miles White | Registered representative | CFP | Aug 2019 (7y) | |
| Carl C Ilg | Registered representative | Aug 2019 (7y) | ||
| Kerry Alex Trevor Farley | Registered representative | Aug 2019 (7y) | ||
| Margarita D Perry | Registered representative | Aug 2019 (7y) | ||
| Matthew A Jackson | Registered representative | Aug 2019 (7y) | ||
| Matthew John Larrabure | Registered representative | Aug 2019 (7y) | ||
| Patrick Tyrone Farley | Registered representative | Aug 2019 (7y) | ||
| Jacob W Dale | Registered representative | Aug 2019 (7y) | ||
| Christine M Ullius | Registered representative | Aug 2019 (7y) | ||
| Conradine Lois Morehouse | Registered representative | Aug 2019 (7y) | ||
| Frederick Gary Wotruba | Registered representative | Aug 2019 (7y) | ||
| John G Hilbert | Registered representative | Aug 2019 (7y) | ||
| John Michael Bennett | Registered representative | Aug 2019 (7y) | ||
| Kurt Duane Veldhuizen | Registered representative | Aug 2019 (7y) | ||
| Mary Elizabeth Dale | Registered representative | Aug 2019 (7y) | ||
| Matthew A Kock | Registered representative | CFP | Aug 2019 (7y) | |
| Susan F Knapstein | Registered representative | Aug 2019 (7y) | ||
| Alexander N Aubrey | Registered representative | CFP | Sep 2019 (7y) | |
| Matthew Briggs | Registered representative | Sep 2019 (7y) | ||
| Matthew Richard Matherly | Registered representative | Sep 2019 (7y) | ||
| Richard Stephen Briggs | Registered representative | Sep 2019 (7y) | ||
| Theresa Marie Yates | Registered representative | Sep 2019 (7y) | ||
| Nathalie Paquin | Registered representative | Sep 2019 (7y) | ||
| Patrick Donovan Quigley | Registered representative | Sep 2019 (7y) | ||
| Kristin Marie Coons | Registered representative | CFA | Sep 2019 (7y) | |
| Dalton Alan Andrews | Registered representative | Sep 2019 (7y) | ||
| Aaron Paul Kingston | Registered representative | CFP | Sep 2019 (7y) | |
| Jeffrey P Schmitt | Registered representative | Sep 2019 (7y) | ||
| Richard Michael Costa | Registered representative | CFP | Sep 2019 (7y) | |
| William Alan Evancho | Registered representative | CFP | Sep 2019 (7y) | |
| Amanda Colledge | Registered representative | Sep 2019 (7y) | ||
| Kelly Alan Mcgrew | Registered representative | Sep 2019 (7y) | ||
| Margaret Ann Hampton | Registered representative | Sep 2019 (7y) | ||
| Richard Erwin Dodge | Registered representative | Sep 2019 (7y) | ||
| David Joseph Mozeleski | Registered representative | Sep 2019 (7y) | ||
| Susan M Chatfield | Registered representative | Sep 2019 (7y) | ||
| Samuel M Difiore | Registered representative | CFP | Sep 2019 (7y) | |
| Angelina Milenevsky | Registered representative | Sep 2019 (7y) | ||
| Eric Henry Burt | Registered representative | Sep 2019 (7y) | ||
| James R Siede | Registered representative | Sep 2019 (7y) | ||
| Judith Chrisann Taras | Registered representative | Sep 2019 (7y) | ||
| Julie Ann Lynch | Registered representative | Sep 2019 (7y) | ||
| Stephen Michael Berube | Registered representative | Sep 2019 (7y) | ||
| Jeffrey Matthew Scofield | Registered representative | Oct 2019 (7y) | ||
| Zachary Ryan Carrick | Registered representative | Oct 2019 (7y) | ||
| Bryce Bell | Registered representative | Oct 2019 (7y) | ||
| William A Gallagher | Registered representative | Oct 2019 (7y) | ||
| Ann Catherine Jahnke | Registered representative | Oct 2019 (7y) | ||
| Brannon J Guyette | Registered representative | Oct 2019 (7y) | ||
| Thomas Scott Hensby | Registered representative | Oct 2019 (7y) | ||
| Clifford Clinton Iubelt | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Carla Gomez | Registered representative | Oct 2019 (7y) | ||
| David Clinton Iubelt | Registered representative | Oct 2019 (7y) | ||
| Mary Elizabeth Rafferty | Registered representative | Oct 2019 (7y) | ||
| Paul Daniel Comcowich | Registered representative | Oct 2019 (7y) | ||
| Robin Brunson | Registered representative | Oct 2019 (7y) | ||
| Kyler Phillip Valecko | Registered representative | Oct 2019 (7y) | ||
| Jay Paul Santangelo | Registered representative | Oct 2019 (7y) | ||
| Pasha Ghaemi | Registered representative | Oct 2019 (7y) | ||
| William Reilley Herf | Registered representative | CFP | Oct 2019 (7y) | |
| Kimberlie Lynn Jones | Registered representative | Oct 2019 (7y) | ||
| Peter David Loguidice | Registered representative | Oct 2019 (7y) | ||
| Frank N Dolce | Registered representative | Oct 2019 (7y) | ||
| Corina Starr Hughes | Registered representative | Oct 2019 (7y) | ||
| Micah Williams | Registered representative | CFP | Oct 2019 (7y) | |
| Erin Harmon | Registered representative | Oct 2019 (7y) | ||
| Greg M. Kelley | Registered representative | Oct 2019 (7y) | ||
| Harold Todd Harmon | Registered representative | Oct 2019 (7y) | ||
| Leslie John Williams | Registered representative | Oct 2019 (7y) | ||
| Benjamin H Spalding | Registered representative | Oct 2019 (7y) | ||
| Michael John Ribando | Registered representative | Nov 2019 (7y) | ||
| Chad Gregory Lewis | Registered representative | Nov 2019 (7y) | ||
| Jenilee Hill | Registered representative | Nov 2019 (7y) | ||
| Jaclyn Singer | Registered representative | Nov 2019 (7y) | ||
| Clifton James Kelly | Registered representative | Nov 2019 (7y) | ||
| Stuart Thomas Reilly | Registered representative | Nov 2019 (7y) | ||
| Terri Suzanne Brown | Registered representative | Nov 2019 (7y) | ||
| Alexandra Aramburu | Registered representative | Nov 2019 (7y) | ||
| Andrew Steven Conn | Registered representative | CFP | Dec 2019 (7y) | |
| Jordan Ryan Grater | Registered representative | Dec 2019 (7y) | ||
| Elise Deyon Morales | Registered representative | Dec 2019 (7y) | ||
| Daniel Henry Rothenberg | Registered representative | Dec 2019 (7y) | ||
| Eunsun Kim | Registered representative | Dec 2019 (7y) | ||
| Roger Wicks Stephens | Registered representative | Dec 2019 (7y) | ||
| Marina Michelle Merkouris | Registered representative | Dec 2019 (7y) | ||
| Robyn Marshall Miller | Registered representative | Dec 2019 (7y) | ||
| Tracey Horner Pearson | Registered representative | Dec 2019 (7y) | ||
| Dyllan Nolan Kirkpatrick | Registered representative | Dec 2019 (7y) | ||
| Jacob John Boone | Registered representative | Dec 2019 (7y) | ||
| Mathew Ogero Nyakundi | Registered representative | Jan 2020 (7y) | ||
| Alan Thomas Cirulli | Registered representative | Jan 2020 (7y) | ||
| Brianne J Aubrey | Registered representative | Jan 2020 (7y) | ||
| Nathan Logan Eaton | Registered representative | Jan 2020 (7y) | ||
| Ryan Patrick Dwyer | Registered representative | Jan 2020 (7y) | ||
| Stephanie Lee Latta | Registered representative | Jan 2020 (7y) | ||
| Joseph Thomas Holden | Registered representative | Jan 2020 (7y) | ||
| Brendan Joseph Smith | Registered representative | Jan 2020 (7y) | ||
| Keeley Jo Christoff | Registered representative | Jan 2020 (7y) | ||
| Wade Anthony Scherer | Registered representative | Jan 2020 (7y) | ||
| Grant August Touhey | Registered representative | Jan 2020 (7y) | ||
| Kristi Owens | Registered representative | Jan 2020 (7y) | ||
| Kendall Ray Pfutzenreuter | Registered representative | Jan 2020 (7y) | ||
| Eric Carl Benson | Registered representative | Jan 2020 (7y) | ||
| Jacob John Krippner | Registered representative | Jan 2020 (7y) | ||
| Carol Brundieck | Registered representative | Jan 2020 (7y) | ||
| Jodie K Mckevitt | Registered representative | Jan 2020 (7y) | ||
| Edward Michael Riberio | Registered representative | Feb 2020 (6y) | ||
| Brendon W Ward | Registered representative | Feb 2020 (6y) | ||
| Robert B Palazzo | Registered representative | Feb 2020 (6y) | ||
| Thomas Frazier | Registered representative | Feb 2020 (6y) | ||
| April Renae Emeola | Registered representative | Feb 2020 (6y) | ||
| Daniel Richard Gounaris | Registered representative | Feb 2020 (6y) | ||
| Daniel S Bachmann | Registered representative | Feb 2020 (6y) | ||
| Denise J Fiamingo | Registered representative | Feb 2020 (6y) | ||
| Melinda Elyse Wise | Registered representative | Feb 2020 (6y) | ||
| Joseph E Palermo | Registered representative | Feb 2020 (6y) | ||
| David J Tilkens | Registered representative | Feb 2020 (6y) | ||
| Michael T Busick | Registered representative | Feb 2020 (6y) | ||
| Polly L Roeser | Registered representative | Feb 2020 (6y) | ||
| Richard E Vezina | Registered representative | Feb 2020 (6y) | ||
| Robert E Pratel | Registered representative | Feb 2020 (6y) | ||
| Terry A Rentmeester | Registered representative | Feb 2020 (6y) | ||
| Trent C Nelson | Registered representative | Feb 2020 (6y) | ||
| Tyler Anthony Klein | Registered representative | Feb 2020 (6y) | ||
| Trevor Jaeck Skaggs | Registered representative | Feb 2020 (6y) | ||
| Vincent Albanese | Registered representative | Feb 2020 (6y) | ||
| Emma Sterling | Registered representative | Feb 2020 (6y) | ||
| Mark Edward Capomaccio | Registered representative | Feb 2020 (6y) | ||
| Jordan Leigh Williams | Registered representative | Mar 2020 (6y) | ||
| Helen L Abe | Registered representative | Mar 2020 (6y) | ||
| Jeffrey Rodvien | Registered representative | Mar 2020 (6y) | ||
| Kristin Emilia Pfeiffer | Registered representative | Mar 2020 (6y) | ||
| Melissa Lee Dardis | Registered representative | Mar 2020 (6y) | ||
| Terri Oliver Edwards | Registered representative | Mar 2020 (6y) | ||
| Michelle Beth Overbeek | Registered representative | Mar 2020 (6y) | ||
| Nancy Jo Anstoetter | Registered representative | Mar 2020 (6y) | ||
| Christine Elizabeth Henry | Registered representative | Mar 2020 (6y) | ||
| Christy Kennedy Martinez | Registered representative | Mar 2020 (6y) | ||
| Charles Erik Hartmann | Registered representative | Mar 2020 (6y) | ||
| Brad R Margison | Registered representative | Mar 2020 (6y) | ||
| James Paul Wyman | Registered representative | CFP | Mar 2020 (6y) | |
| Ryan William Cole | Registered representative | Mar 2020 (6y) | ||
| Adrienne Diane Sullivan | Registered representative | Mar 2020 (6y) | ||
| Julie M Greenberg | Registered representative | Mar 2020 (6y) | ||
| Carl John Helleberg | Registered representative | Apr 2020 (6y) | ||
| Gregory Richard Fuerst | Registered representative | Apr 2020 (6y) | ||
| John Armand Welsch | Registered representative | Apr 2020 (6y) | ||
| Kristan Lee Janssen | Registered representative | Apr 2020 (6y) | ||
| Michael Alphonse Korb | Registered representative | Apr 2020 (6y) | ||
| David Wesley Johnson | Registered representative | Apr 2020 (6y) | ||
| Marcia T. Irvin | Registered representative | Apr 2020 (6y) | ||
| Jeremy Ronnebaum Sutton | Registered representative | Apr 2020 (6y) | ||
| Angela Mary Von Spreckelsen | Registered representative | Apr 2020 (6y) | ||
| Eric Taylor | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| Frank Malcolm Minor | Registered representative | Apr 2020 (6y) | ||
| Frank M Taylor | Registered representative | CFP | Apr 2020 (6y) | |
| Stacy L Goerner | Registered representative | Apr 2020 (6y) | ||
| William Taylor | Registered representative | CFP | Apr 2020 (6y) | |
| Yamei Stephanie Chang | Registered representative | Apr 2020 (6y) | ||
| David Alan Storer | Registered representative | May 2020 (6y) | ||
| William Charles Gribble | Registered representative | May 2020 (6y) | ||
| Steven Jay Franco | Registered representative | May 2020 (6y) | ||
| Chad Sheiner | Registered representative | May 2020 (6y) | ||
| Austin Jeffrey Schuler | Registered representative | May 2020 (6y) | ||
| Cynthia Ann Motiff | Registered representative | May 2020 (6y) | ||
| Donald Robert Baker | Registered representative | May 2020 (6y) | ||
| Jason P Burkett | Registered representative | May 2020 (6y) | ||
| Kyle R Danford | Registered representative | May 2020 (6y) | ||
| Lance Preston Crossett | Registered representative | May 2020 (6y) | ||
| Nicole Rowe | Registered representative | May 2020 (6y) | ||
| Patrick Raymond Ford | Registered representative | May 2020 (6y) | ||
| Scott Tilton Baker | Registered representative | May 2020 (6y) | ||
| Kimberly Renee Grelli | Registered representative | May 2020 (6y) | ||
| Mitchell Pochter | Registered representative | May 2020 (6y) | ||
| Sean Ronald Frelke | Registered representative | May 2020 (6y) | ||
| Rachel Beth Heidelberger | Registered representative | May 2020 (6y) | ||
| Benjamin Alan Swim | Registered representative | May 2020 (6y) | ||
| Brittnay Nicole Larrimore | Registered representative | May 2020 (6y) | ||
| Richard David Ormsby | Registered representative | May 2020 (6y) | ||
| Anthony Christian Connor | Registered representative | May 2020 (6y) | ||
| Dianne Bartol Scott | Registered representative | May 2020 (6y) | ||
| Grace Colleen Platz | Registered representative | May 2020 (6y) | ||
| John Crawford Galleher | Registered representative | May 2020 (6y) | ||
| Richard Lee Stein | Registered representative | May 2020 (6y) | ||
| Ronald Clement Fitzgerald | Registered representative | May 2020 (6y) | ||
| Nancy Ann Lake | Registered representative | May 2020 (6y) | ||
| Edith Remington | Registered representative | Jun 2020 (6y) | ||
| Johnny Man Yun | Registered representative | Jun 2020 (6y) | ||
| Martha L Gibson | Registered representative | Jun 2020 (6y) | ||
| Timothy Macnair Cahill | Registered representative | Jun 2020 (6y) | ||
| Catherine Hillebrand | Registered representative | Jun 2020 (6y) | ||
| Jeffrey Robert Hyman | Registered representative | Jun 2020 (6y) | ||
| Mark Albert Bilski | Registered representative | Jun 2020 (6y) | ||
| Melanie Anne Illar | Registered representative | Jun 2020 (6y) | ||
| David Charles Rankin | Registered representative | CFP | Jun 2020 (6y) | |
| James Joseph Ernst | Registered representative | Jun 2020 (6y) | ||
| Keith Mc Ewen | Registered representative | Jun 2020 (6y) | ||
| Clark Christopher Mangan | Registered representative | Jun 2020 (6y) | ||
| Greg Crosby Wells | Registered representative | Jun 2020 (6y) | ||
| Mei Mei Chow | Registered representative | Jun 2020 (6y) | ||
| Jennifer Lee Wappaus | Registered representative | CFP | Jun 2020 (6y) | |
| Francis Patrick Mcdonnell | Registered representative | Jun 2020 (6y) | ||
| Peter Joseph Sadlo | Registered representative | Jun 2020 (6y) | ||
| Robert Martin Funke | Registered representative | Jun 2020 (6y) | ||
| Thomas Charles Ofarrell | Registered representative | Jun 2020 (6y) | ||
| Christopher Robie Reilly | Registered representative | Jul 2020 (6y) | ||
| James Ernest Koestner | Registered representative | CFP | Jul 2020 (6y) | |
| Tyler Frawley | Registered representative | CFA | Jul 2020 (6y) | |
| Scott David Schroeder | Registered representative | Jul 2020 (6y) | ||
| Hailey Marie Jacobs | Registered representative | Jul 2020 (6y) | ||
| Richard Erwin Brostowitz | Registered representative | CFP | Jul 2020 (6y) | |
| William Ellison Grayson | Registered representative | Jul 2020 (6y) | ||
| Meredith Laurienzo | Registered representative | Jul 2020 (6y) | ||
| Eric Shell | Registered representative | Jul 2020 (6y) | ||
| Gwenne Siron Bacani | Registered representative | Jul 2020 (6y) | ||
| Joseph Scott Kay | Registered representative | Jul 2020 (6y) | ||
| Samuel Lovett Sturgis | Registered representative | Jul 2020 (6y) | ||
| Patrick T Mcguire | Registered representative | Jul 2020 (6y) | ||
| Derek Robert Bohm | Registered representative | Jul 2020 (6y) | ||
| Lisa Anne Byrne | Registered representative | Jul 2020 (6y) | ||
| Brianne Nicole Hightshoe | Registered representative | Aug 2020 (6y) | ||
| Craig Edward Bowden | Registered representative | Aug 2020 (6y) | ||
| Patrick D Maguire | Registered representative | Aug 2020 (6y) | ||
| Robert Arthur Clear | Registered representative | Aug 2020 (6y) | ||
| Hormoz Shon Saleh | Registered representative | Aug 2020 (6y) | ||
| Joseph Edward Sulentor | Registered representative | Aug 2020 (6y) | ||
| Michael James Ladge | Registered representative | Aug 2020 (6y) | ||
| Sydney Marie Partch | Registered representative | Aug 2020 (6y) | ||
| Marissa Michele Jones | Registered representative | Aug 2020 (6y) | ||
| Janice Kay Crosta | Registered representative | Aug 2020 (6y) | ||
| Lynette Marie Manning | Registered representative | Aug 2020 (6y) | ||
| Nicholas Tyler Crosta | Registered representative | Aug 2020 (6y) | ||
| Timothy Colin Brogan | Registered representative | Aug 2020 (6y) | ||
| Brady Edward Pedler | Registered representative | Aug 2020 (6y) | ||
| Joseph A. Santana | Registered representative | Aug 2020 (6y) | ||
| Joanne Sarah Yecies | Registered representative | Aug 2020 (6y) | ||
| Mitchell Allen Halperin | Registered representative | Aug 2020 (6y) | ||
| Brian Engeler Lees | Registered representative | Aug 2020 (6y) | ||
| Carol Ann Wilshire | Registered representative | CFP | Sep 2020 (6y) | |
| Eric Scott Glasband | Registered representative | Sep 2020 (6y) | ||
| Jonathan D Stempel | Registered representative | Sep 2020 (6y) | ||
| Justin Hanlon | Registered representative | Sep 2020 (6y) | ||
| Matthew D. Kutner | Registered representative | Sep 2020 (6y) | ||
| Ryan Anthony Burke | Registered representative | Sep 2020 (6y) | ||
| Kris Andreas Wappaus | Registered representative | Sep 2020 (6y) | ||
| Zachariah Daniel Ingalls | Registered representative | Sep 2020 (6y) | ||
| Meagan Nicole Laux | Registered representative | Sep 2020 (6y) | ||
| Chelsey Margo Mc Shane | Registered representative | Sep 2020 (6y) | ||
| Edward Knox Sturtevant | Registered representative | Sep 2020 (6y) | ||
| Stephenson Gragg | Registered representative | Sep 2020 (6y) | ||
| Allison L Delay | Registered representative | Oct 2020 (6y) | ||
| Arthur Irving Martin | Registered representative | Oct 2020 (6y) | ||
| Brett Michael Scharf | Registered representative | CFP | Oct 2020 (6y) | |
| Leah F Zikoski | Registered representative | Oct 2020 (6y) | ||
| Maria Gaspari | Registered representative | Oct 2020 (6y) | ||
| Wade Robert Martin | Registered representative | Oct 2020 (6y) | ||
| Zachary Meyers Martin | Registered representative | Oct 2020 (6y) | ||
| Gordon Hamilton Witherspoon | Registered representative | Oct 2020 (6y) | ||
| Geoffrey Francis Hughes | Registered representative | Oct 2020 (6y) | ||
| Robert Geisler | Registered representative | Oct 2020 (6y) | ||
| Todd David Ellis | Registered representative | Oct 2020 (6y) | ||
| James Russell Kieckhaefer | Registered representative | Oct 2020 (6y) | ||
| Kurt Allen Kuettel | Registered representative | Oct 2020 (6y) | ||
| Margaret Mary Bentzler | Registered representative | Oct 2020 (6y) | ||
| Ryan D Kieckhaefer | Registered representative | Oct 2020 (6y) | ||
| Gregory Hunter Dudzik | Registered representative | CFP | Oct 2020 (6y) | |
| Gregory Timothy Dudzik | Registered representative | Oct 2020 (6y) | ||
| Joseph Anthony Abbate | Registered representative | Oct 2020 (6y) | ||
| Michael Robert Kramer | Registered representative | Oct 2020 (6y) | ||
| Eden Loren Lopez Robles | Registered representative | Oct 2020 (6y) | ||
| Carmilita Aching | Registered representative | Oct 2020 (6y) | ||
| Erica Leigh Cummings | Registered representative | Oct 2020 (6y) | ||
| Khanh Da Ngo | Registered representative | CFP | Oct 2020 (6y) | |
| Allen R Canete | Registered representative | Oct 2020 (6y) | ||
| John Eric Larsen | Registered representative | Oct 2020 (6y) | ||
| Lisa M Albers Koppmann | Registered representative | Oct 2020 (6y) | ||
| Kyle J Sanders | Registered representative | Oct 2020 (6y) | ||
| Kathleen Hanahan Estrem | Registered representative | Oct 2020 (6y) | ||
| Michael Christopher Graziani | Registered representative | Oct 2020 (6y) | ||
| Robert Elliott Loupee | Registered representative | Oct 2020 (6y) | ||
| Mitchell Eric Brewe | Registered representative | Oct 2020 (6y) | ||
| Tyler R De Young | Registered representative | Nov 2020 (6y) | ||
| Amanda Elizabeth Catalina | Registered representative | Nov 2020 (6y) | ||
| Gary Paul Haack | Registered representative | CFP Chartered Financial Consultant | Nov 2020 (6y) | |
| Lindsey Nicole Caputa | Registered representative | Nov 2020 (6y) | ||
| Matthew Stephen Marcarelli | Registered representative | CFP | Nov 2020 (6y) | |
| Christopher Jordan Beaubien | Registered representative | Nov 2020 (6y) | ||
| Jordan Anne Ringstad | Registered representative | Nov 2020 (6y) | ||
| Adrienne Gaves | Registered representative | Nov 2020 (6y) | ||
| Brian K Sullivan | Registered representative | Nov 2020 (6y) | ||
| Michael Edward Mcmurtrey | Registered representative | Nov 2020 (6y) | ||
| Samuel Bennett Martello | Registered representative | Nov 2020 (6y) | ||
| William Covington Irby | Registered representative | Nov 2020 (6y) | ||
| Steven Harvey Altholtz | Registered representative | Dec 2020 (6y) | ||
| Alizeh Afzal | Registered representative | Dec 2020 (6y) | ||
| Thomas Patrick Lynch | Registered representative | Dec 2020 (6y) | ||
| David John Scharenbroich | Registered representative | Dec 2020 (6y) | ||
| Ayesha Muzaffar | Registered representative | Dec 2020 (6y) | ||
| Jimmy J Galindo | Registered representative | Dec 2020 (6y) | ||
| Justin Howard Parkhurst | Registered representative | Dec 2020 (6y) | ||
| Philip Carlton Beal | Registered representative | Dec 2020 (6y) | ||
| Thomas Peter Brown | Registered representative | Dec 2020 (6y) | ||
| Allison Leigh Pohlman | Registered representative | Dec 2020 (6y) | ||
| Madeline Hope Nichols | Registered representative | Jan 2021 (6y) | ||
| Andrew Waugh | Registered representative | Jan 2021 (6y) | ||
| Douglas Edward Henderson | Registered representative | Jan 2021 (6y) | ||
| Gary Parnaby | Registered representative | Jan 2021 (6y) | ||
| Erika Marie Karr | Registered representative | Jan 2021 (6y) | ||
| Amy Marie Mcguire | Registered representative | Jan 2021 (6y) | ||
| Brian Joseph Adams | Registered representative | Jan 2021 (6y) | ||
| Gregory Dale Ernst | Registered representative | Jan 2021 (6y) | ||
| Stephen A Burt | Registered representative | Jan 2021 (6y) | ||
| Todd Jason Stark | Registered representative | Jan 2021 (6y) | ||
| Christine Marie Drone | Registered representative | CFP | Jan 2021 (6y) | |
| Kurt Jerome Bakken | Registered representative | Jan 2021 (6y) | ||
| Marnie Stark | Registered representative | Jan 2021 (6y) | ||
| Trudy Renee Soper | Registered representative | Jan 2021 (6y) | ||
| Robert James Carmichael | Registered representative | Jan 2021 (6y) | ||
| John David Hartman | Registered representative | Jan 2021 (6y) | ||
| Alison Ann Walker | Registered representative | Feb 2021 (6y) | ||
| Jean A. Wanish | Registered representative | Feb 2021 (6y) | ||
| Michael Aaron Marshall | Registered representative | Feb 2021 (6y) | ||
| Wael H Rashidi | Registered representative | CFP Chartered Financial Consultant | Feb 2021 (6y) | |
| Allison Link Oakey | Registered representative | Feb 2021 (5y) | ||
| Agnese Butler | Registered representative | Feb 2021 (5y) | ||
| Susan Elizabeth Bookmyer | Registered representative | Feb 2021 (5y) | ||
| Candice Renee Storm | Registered representative | Feb 2021 (5y) | ||
| David C. Tingelstad | Registered representative | CFP | Feb 2021 (5y) | |
| Charles Mc Intosh Leak | Registered representative | Feb 2021 (5y) | ||
| Monica Magnuson | Registered representative | Feb 2021 (5y) | ||
| Grant Michael Chaney | Registered representative | Feb 2021 (5y) | ||
| Christopher J Collins | Registered representative | Feb 2021 (5y) | ||
| Carl Hugh Rickmeier | Registered representative | Feb 2021 (5y) | ||
| Danny Lee Hanson | Registered representative | CFP | Feb 2021 (5y) | |
| Nicholas Johnson Sahm | Registered representative | Feb 2021 (5y) | ||
| Shaun Alzate | Registered representative | Feb 2021 (5y) | ||
| Jessica Rose Morgan | Registered representative | Feb 2021 (5y) | ||
| William Donald Georgen | Registered representative | Feb 2021 (5y) | ||
| Alexander Letvinchuk | Registered representative | Feb 2021 (5y) | ||
| Angela C Carr | Registered representative | Mar 2021 (5y) | ||
| Zachary Clarke Fisher | Registered representative | CFP | Mar 2021 (5y) | |
| James David Lynch | Registered representative | Mar 2021 (5y) | ||
| Nancy Kristene Foust | Registered representative | Mar 2021 (5y) | ||
| Samuel Stephen Pawlak | Registered representative | Mar 2021 (5y) | ||
| Suzanne Eileen Sweeney | Registered representative | Mar 2021 (5y) | ||
| Emily Jane Bedford | Registered representative | Mar 2021 (5y) | ||
| Fiona Slater | Registered representative | Mar 2021 (5y) | ||
| Aaron J Keith | Registered representative | Mar 2021 (5y) | ||
| Ryan Carr | Registered representative | Mar 2021 (5y) | ||
| Lisa Marie Davis | Registered representative | Mar 2021 (5y) | ||
| Kristin Anne Braska | Registered representative | Mar 2021 (5y) | ||
| Lucien C Blackwell | Registered representative | Apr 2021 (5y) | ||
| William John Koren | Registered representative | Apr 2021 (5y) | ||
| Anthony Mario Capriotti | Registered representative | Apr 2021 (5y) | ||
| Crystal Dawn Retterath | Registered representative | Apr 2021 (5y) | ||
| Samuel Gibson Reese | Registered representative | Apr 2021 (5y) | ||
| Christopher Charles Graham | Registered representative | Apr 2021 (5y) | ||
| Jarrett Lee Gounaris | Registered representative | Apr 2021 (5y) | ||
| Patrick S Mcculloh | Registered representative | Apr 2021 (5y) | ||
| Rachel K Corregan | Registered representative | Apr 2021 (5y) | ||
| Bridgot Sharon Basile | Registered representative | Apr 2021 (5y) | ||
| Albert J Fusca | Registered representative | Apr 2021 (5y) | ||
| Elizabeth Ann Boswell | Registered representative | Apr 2021 (5y) | ||
| Christopher David Sadaka | Registered representative | Apr 2021 (5y) | ||
| Kevin K Clark | Registered representative | Apr 2021 (5y) | ||
| Michael Henry Meyers | Registered representative | Apr 2021 (5y) | ||
| Michael James Meehan | Registered representative | Apr 2021 (5y) | ||
| David Gordon Schrager | Registered representative | Apr 2021 (5y) | ||
| Grace Cara Lynn Anderson | Registered representative | Apr 2021 (5y) | ||
| Jennifer Ann Carr | Registered representative | Apr 2021 (5y) | ||
| John Nikitas Zavolas | Registered representative | Apr 2021 (5y) | ||
| John H White | Registered representative | Apr 2021 (5y) | ||
| Charles Stephens O'neil | Registered representative | Apr 2021 (5y) | ||
| Steven E Gatto | Registered representative | Apr 2021 (5y) | ||
| Thomas Andrew Paulson | Registered representative | Apr 2021 (5y) | ||
| William Merritt Holman | Registered representative | Apr 2021 (5y) | ||
| Jesse Colin Witt | Registered representative | CFP | May 2021 (5y) | |
| Michael Brian Kemp | Registered representative | May 2021 (5y) | ||
| Nelson Edward Link | Registered representative | May 2021 (5y) | ||
| Keaton Q Jensen | Registered representative | May 2021 (5y) | ||
| Quinn M Jensen | Registered representative | May 2021 (5y) | ||
| Andrew Macintosh Heald | Registered representative | May 2021 (5y) | ||
| Bruce Kenneth Berman | Registered representative | May 2021 (5y) | ||
| Chad William Goerner | Registered representative | CFP | May 2021 (5y) | |
| Claudia J Peppard | Registered representative | May 2021 (5y) | ||
| Dustin J Illgen | Registered representative | May 2021 (5y) | ||
| Jessica Ann Ovrutsky | Registered representative | May 2021 (5y) | ||
| Michael Patrick Gara | Registered representative | May 2021 (5y) | ||
| Steven Richard Benzschawel | Registered representative | CFP | May 2021 (5y) | |
| Paul Allan Beck | Registered representative | May 2021 (5y) | ||
| Katherine L Danbury | Registered representative | May 2021 (5y) | ||
| Ryan Gibbons | Registered representative | May 2021 (5y) | ||
| Cynthia Prescilla Moreno | Registered representative | May 2021 (5y) | ||
| Bradley Joseph Piermantier | Registered representative | May 2021 (5y) | ||
| Clifford Virgin Iii | Registered representative | May 2021 (5y) | ||
| Trang Hong Tran | Registered representative | May 2021 (5y) | ||
| Virgie Lena Taylor | Registered representative | CFP | May 2021 (5y) | |
| Frank Albanese | Registered representative | Jun 2021 (5y) | ||
| James Walter Armstrong | Registered representative | Jun 2021 (5y) | ||
| Gordon Scott Wallace | Registered representative | Jun 2021 (5y) | ||
| Joan Cappiello Livingston | Registered representative | Jun 2021 (5y) | ||
| Matthew Scott Wallace | Registered representative | Jun 2021 (5y) | ||
| Kathy Ann Salcido | Registered representative | Jun 2021 (5y) | ||
| Ryan Refugia Roque | Registered representative | Jun 2021 (5y) | ||
| Michael Kriegler | Registered representative | Jun 2021 (5y) | ||
| Jerred M Duncan | Registered representative | Jun 2021 (5y) | ||
| Peter Basil Kaldis | Registered representative | Jun 2021 (5y) | ||
| Farin Grace Cohen | Registered representative | Jun 2021 (5y) | ||
| Thomas John Conlin | Registered representative | Jun 2021 (5y) | ||
| Gary Gene Cattich | Registered representative | Jun 2021 (5y) | ||
| Nicholas James Tancill | Registered representative | Jun 2021 (5y) | ||
| Anna R Thackston | Registered representative | Jun 2021 (5y) | ||
| Brandon Richard Parr | Registered representative | Jun 2021 (5y) | ||
| Clifton Santikul | Registered representative | Jun 2021 (5y) | ||
| Heather Noel Lakner | Registered representative | Jun 2021 (5y) | ||
| Lucie Honosutomo | Registered representative | Jun 2021 (5y) | ||
| Robert Randall Parr | Registered representative | Jun 2021 (5y) | ||
| Roy Albert Mendoza | Registered representative | Jun 2021 (5y) | ||
| Scott Learned Abell | Registered representative | Jun 2021 (5y) | ||
| Magnus Zsolt Du Borg | Registered representative | CFP | Jun 2021 (5y) | |
| Thomas Charles Ofarrell | Registered representative | Jun 2021 (5y) | ||
| Aris George Bofiles | Registered representative | Jun 2021 (5y) | ||
| Amber Renee Stephan | Registered representative | Jun 2021 (5y) | ||
| Casey Obrien | Registered representative | Jul 2021 (5y) | ||
| Christopher Ryan Bayles | Registered representative | Jul 2021 (5y) | ||
| Timothy Hamilton Heald | Registered representative | Jul 2021 (5y) | ||
| Anna Balison Wessell | Registered representative | Jul 2021 (5y) | ||
| Joshua Meyer Rebholz | Registered representative | Jul 2021 (5y) | ||
| Jennifer Hahn Giles | Registered representative | CFA | Jul 2021 (5y) | |
| Candace Joyce Hedgepeth Kim | Registered representative | Jul 2021 (5y) | ||
| Laura Anne Johnson | Registered representative | Jul 2021 (5y) | ||
| Paul A. Fea | Registered representative | Jul 2021 (5y) | ||
| Anthony Richard Surber | Registered representative | Jul 2021 (5y) | ||
| Stephen Joseph Dicarlo | Registered representative | Jul 2021 (5y) | ||
| Jody Peter Chadwick | Registered representative | Jul 2021 (5y) | ||
| Stephen Di Carlo | Registered representative | Jul 2021 (5y) | ||
| Chad James Runnels | Registered representative | Aug 2021 (5y) | ||
| Christopher Robert Lobo | Registered representative | Aug 2021 (5y) | ||
| Donald Charles Musnicki | Registered representative | Aug 2021 (5y) | ||
| Elizabeth Louise Johnston | Registered representative | CFP | Aug 2021 (5y) | |
| Helaine Vivian Mamelak | Registered representative | Aug 2021 (5y) | ||
| Jason Todd Lichtenstein | Registered representative | Aug 2021 (5y) | ||
| Laurence Scott Lubkin | Registered representative | Aug 2021 (5y) | ||
| Linda Gaye Sama | Registered representative | Aug 2021 (5y) | ||
| Nicholas William Lennon | Registered representative | CFP | Aug 2021 (5y) | |
| Philip Samuel Franco | Registered representative | Aug 2021 (5y) | ||
| Stephen Anthony Fornarola | Registered representative | Aug 2021 (5y) | ||
| Stephen Joseph Beninati | Registered representative | Aug 2021 (5y) | ||
| Henry C Schulenberg | Registered representative | Aug 2021 (5y) | ||
| Monica Villa | Registered representative | Aug 2021 (5y) | ||
| Jill Maureen Brett | Registered representative | Aug 2021 (5y) | ||
| Luis Alfonso Gutierrez | Registered representative | Aug 2021 (5y) | ||
| Mattie Mariah King | Registered representative | Aug 2021 (5y) | ||
| Cynthia Ann Hansen | Registered representative | Aug 2021 (5y) | ||
| Mauris Azizi | Registered representative | Aug 2021 (5y) | ||
| Yolibeth Garcia Mcgowan | Registered representative | Aug 2021 (5y) | ||
| John Joseph Birkhauser | Registered representative | Aug 2021 (5y) | ||
| Ryan M Birkhauser | Registered representative | CFP | Aug 2021 (5y) | |
| Suzanne Leah Kane | Registered representative | Aug 2021 (5y) | ||
| Tabitha Violet Kenney | Registered representative | Aug 2021 (5y) | ||
| Steven A Fielder | Registered representative | Aug 2021 (5y) | ||
| Stuart John Morrice | Registered representative | CFA | Aug 2021 (5y) | |
| Corey Daniel Sacken | Registered representative | Aug 2021 (5y) | ||
| Jarod A Florian | Registered representative | Aug 2021 (5y) | ||
| Giulia A Laplante | Registered representative | CFP | Sep 2021 (5y) | |
| Leslie F Schwartz | Registered representative | Sep 2021 (5y) | ||
| Paula M Steinberg | Registered representative | Sep 2021 (5y) | ||
| Jeffrey Allan Souza | Registered representative | Sep 2021 (5y) | ||
| Rosemarie Aragoncillo | Registered representative | Sep 2021 (5y) | ||
| Andrew Joseph Turner | Registered representative | Sep 2021 (5y) | ||
| James Robert Turner | Registered representative | Sep 2021 (5y) | ||
| Pamela Michelle Both | Registered representative | Sep 2021 (5y) | ||
| Joseph Dominic Gandolfo | Registered representative | Sep 2021 (5y) | ||
| Sarah Brooke Murphy | Registered representative | Sep 2021 (5y) | ||
| Katrina R Stump | Registered representative | Sep 2021 (5y) | ||
| Patrick M Cummings | Registered representative | Sep 2021 (5y) | ||
| Robert Verner Chavez | Registered representative | Sep 2021 (5y) | ||
| Stephen Jeffrey Groth | Registered representative | Sep 2021 (5y) | ||
| Deborah A Jenkins | Registered representative | Sep 2021 (5y) | ||
| Jeffrey Alexander Lesyk | Registered representative | Sep 2021 (5y) | ||
| Rachel Lynn Akerson | Registered representative | Sep 2021 (5y) | ||
| Shall Mie Jue | Registered representative | Sep 2021 (5y) | ||
| Douglas Michael Kuszak | Registered representative | Sep 2021 (5y) | ||
| Gregory Lee Yank | Registered representative | Sep 2021 (5y) | ||
| Jerold L Doell | Registered representative | Sep 2021 (5y) | ||
| Jose Becerra | Registered representative | Sep 2021 (5y) | ||
| Michael Cyrus Timchula | Registered representative | Sep 2021 (5y) | ||
| Nancy Ann Minkkinen | Registered representative | Oct 2021 (5y) | ||
| Gerd Jon Bents | Registered representative | Oct 2021 (5y) | ||
| Kelli M Kruse | Registered representative | Oct 2021 (5y) | ||
| John Ross Gilliland | Registered representative | Oct 2021 (5y) | ||
| Marvin Dean Gilliland | Registered representative | Oct 2021 (5y) | ||
| Connor Vincent William Ginley | Registered representative | Oct 2021 (5y) | ||
| Terry Duonne Lee | Registered representative | Oct 2021 (5y) | ||
| Buchanan Joseph Leinen | Registered representative | Oct 2021 (5y) | ||
| Diane Marie Beresniewicz | Registered representative | Oct 2021 (5y) | ||
| Jacob Louis Griffith | Registered representative | Oct 2021 (5y) | ||
| Kimberly Ann Bullis Rauh | Registered representative | Oct 2021 (5y) | ||
| Kraig Lee Emmendorfer | Registered representative | Oct 2021 (5y) | ||
| Robin Noel Bratone | Registered representative | Oct 2021 (5y) | ||
| Thomas Andrew Berger | Registered representative | Oct 2021 (5y) | ||
| Christopher Robin Ellis | Registered representative | Oct 2021 (5y) | ||
| Marco Ventrella | Registered representative | Oct 2021 (5y) | ||
| Angela Joy Soriano | Registered representative | Oct 2021 (5y) | ||
| Charles Adam Tepper | Registered representative | Oct 2021 (5y) | ||
| Dale Anthony Gonzaga | Registered representative | Oct 2021 (5y) | ||
| Mitchell Gallo | Registered representative | Oct 2021 (5y) | ||
| Nikki Carolyn Haskins | Registered representative | Oct 2021 (5y) | ||
| Patricia D Kwiatkowski | Registered representative | Oct 2021 (5y) | ||
| Patrizia Ann Laughton | Registered representative | Oct 2021 (5y) | ||
| Samuel C. Conde | Registered representative | Oct 2021 (5y) | ||
| Sean Patrick Herlihy | Registered representative | Oct 2021 (5y) | ||
| Suzanne Margaret Plain Ward | Registered representative | Oct 2021 (5y) | ||
| Aisha Jamil Khan | Registered representative | Oct 2021 (5y) | ||
| Patrick Joseph Holley | Registered representative | Oct 2021 (5y) | ||
| Donna Mae Childress | Registered representative | Oct 2021 (5y) | ||
| Melanie Rivera | Registered representative | Oct 2021 (5y) | ||
| Stephen Patrick Mcgovern | Registered representative | Oct 2021 (5y) | ||
| John Rice Halsell | Registered representative | Oct 2021 (5y) | ||
| Alex Anthony Costa | Registered representative | Oct 2021 (5y) | ||
| Ian Tobiason | Registered representative | Oct 2021 (5y) | ||
| Michael Adam Strulson | Registered representative | Oct 2021 (5y) | ||
| Adam Mark Johnson | Registered representative | Oct 2021 (5y) | ||
| Mark Linden Johnson | Registered representative | CFP | Oct 2021 (5y) | |
| William Barton Mcnabb | Registered representative | CFP | Oct 2021 (5y) | |
| Carrie Lynne Orvik | Registered representative | Oct 2021 (5y) | ||
| Gabrielle Belisle | Registered representative | Oct 2021 (5y) | ||
| Garrett Schussler | Registered representative | CFP | Oct 2021 (5y) | |
| Macklin John Micera | Registered representative | Oct 2021 (5y) | ||
| Richard Lee Hill | Registered representative | Oct 2021 (5y) | ||
| Rory Robert Greek | Registered representative | CFP | Oct 2021 (5y) | |
| Brian Dean Burnham | Registered representative | Nov 2021 (5y) | ||
| Ronda Kathleen Zattera | Registered representative | Nov 2021 (5y) | ||
| Davis B Monaghan | Registered representative | Nov 2021 (5y) | ||
| Ashley Rose Mc Neal | Registered representative | Nov 2021 (5y) | ||
| Graham Charles Glosser | Registered representative | Nov 2021 (5y) | ||
| James A Gillin | Registered representative | Nov 2021 (5y) | ||
| Ashley Baerwaldt | Registered representative | Nov 2021 (5y) | ||
| Taylor Mcleod | Registered representative | Nov 2021 (5y) | ||
| Thomas Robert Steele | Registered representative | Nov 2021 (5y) | ||
| Christopher Michael Andreach | Registered representative | CFP | Nov 2021 (5y) | |
| Reid Donald Anderson | Registered representative | Nov 2021 (5y) | ||
| Grant Anthony Gherity | Registered representative | Nov 2021 (5y) | ||
| John Leonard | Registered representative | Nov 2021 (5y) | ||
| Cory Neal Jackson | Registered representative | Dec 2021 (5y) | ||
| Rhett Allen Helt | Registered representative | Dec 2021 (5y) | ||
| Marygrace Guastella | Registered representative | Dec 2021 (5y) | ||
| Jesse Alan Favre | Registered representative | Dec 2021 (5y) | ||
| Tiffany Ann Foust | Registered representative | Dec 2021 (5y) | ||
| Terrance G Edwards | Registered representative | Dec 2021 (5y) | ||
| Drake Calvin Berkeley Evans | Registered representative | Dec 2021 (5y) | ||
| Jill Hendrickson Mcentee | Registered representative | Dec 2021 (5y) | ||
| Michael Anthony Courtney | Registered representative | Dec 2021 (5y) | ||
| Luke Joseph Violette | Registered representative | CFP | Jan 2022 (5y) | |
| Anita Kaye Wingfield | Registered representative | Jan 2022 (5y) | ||
| Clarence Bernard Grier | Registered representative | Jan 2022 (5y) | ||
| David Franklin Williams | Registered representative | Jan 2022 (5y) | ||
| Jeffrey Scott Doty | Registered representative | Jan 2022 (5y) | ||
| Michael Casey Donahue | Registered representative | Jan 2022 (5y) | ||
| Robert Moshe Thompson | Registered representative | Jan 2022 (5y) | ||
| Rawanne Smili | Registered representative | Jan 2022 (5y) | ||
| Adam Cory Rothstein | Registered representative | Jan 2022 (5y) | ||
| Brian Amster | Registered representative | CFP | Jan 2022 (5y) | |
| Gina Thompson | Registered representative | Jan 2022 (5y) | ||
| John K Stevens | Registered representative | Jan 2022 (5y) | ||
| Natalie Marian Bova | Registered representative | Jan 2022 (5y) | ||
| Anthony James Mazzo | Registered representative | Jan 2022 (5y) | ||
| Debra Ann Sendelbach | Registered representative | Jan 2022 (5y) | ||
| Denise Lynn Peloza | Registered representative | Jan 2022 (5y) | ||
| Hallie Ann Brenis | Registered representative | Jan 2022 (5y) | ||
| Joseph Luis Hage | Registered representative | Jan 2022 (5y) | ||
| Jessica S Alcorn | Registered representative | Jan 2022 (5y) | ||
| Kathleen R Keleher | Registered representative | Jan 2022 (5y) | ||
| Lisa M Knutson | Registered representative | Jan 2022 (5y) | ||
| Michael Jonathan Kravitz | Registered representative | Jan 2022 (5y) | ||
| Stacey Lee Kovach | Registered representative | Jan 2022 (5y) | ||
| Heedy Kay Locke | Registered representative | Jan 2022 (5y) | ||
| Alfredo Armando Rosas | Registered representative | Jan 2022 (5y) | ||
| Benjamin Vaughn Workman | Registered representative | Jan 2022 (5y) | ||
| Richard Thomas Koster | Registered representative | Jan 2022 (5y) | ||
| James Earl Vigue | Registered representative | Jan 2022 (5y) | ||
| Alexander Frasier Maffett | Registered representative | Jan 2022 (5y) | ||
| Bowlman Tarleton Bowles | Registered representative | Jan 2022 (5y) | ||
| Debra Sue Harkins | Registered representative | Jan 2022 (5y) | ||
| Jacob Sterling | Registered representative | Jan 2022 (5y) | ||
| Martin Joseph Miller | Registered representative | Jan 2022 (5y) | ||
| Matthew Clinton Horn | Registered representative | Jan 2022 (5y) | ||
| Stephen Michael Tucci | Registered representative | CFP | Jan 2022 (5y) | |
| Jessica Ramsey | Registered representative | Jan 2022 (5y) | ||
| Cari Beth Schnipper | Registered representative | CFP | Feb 2022 (5y) | |
| Lucia Ersilia Kaddouh | Registered representative | Feb 2022 (5y) | ||
| Michael Robert Zeman | Registered representative | Feb 2022 (4y) | ||
| Ashley Marie Stensrud | Registered representative | Feb 2022 (4y) | ||
| Valerie Ann Kilgore | Registered representative | Feb 2022 (4y) | ||
| Chase D Polacek | Registered representative | Feb 2022 (4y) | ||
| Richard Patrick Morrow | Registered representative | Feb 2022 (4y) | ||
| Albert Alexander Montague | Registered representative | Feb 2022 (4y) | ||
| Willard Lee Rumley | Registered representative | Feb 2022 (4y) | ||
| Cole Richard Karstetter | Registered representative | Feb 2022 (4y) | ||
| Daniel Mathews | Registered representative | Feb 2022 (4y) | ||
| Kenneth William Peterson | Registered representative | Feb 2022 (4y) | ||
| Lisa Dawn Dupree | Registered representative | Mar 2022 (4y) | ||
| Grover Matthew Loftin | Registered representative | Mar 2022 (4y) | ||
| Keegan J Hornbuckle | Registered representative | Mar 2022 (4y) | ||
| Robert Douglas Foltz | Registered representative | CFP | Mar 2022 (4y) | |
| Janina Caufield | Registered representative | Mar 2022 (4y) | ||
| Christine E Pisano | Registered representative | Mar 2022 (4y) | ||
| Nona Jensen Coleman | Registered representative | Mar 2022 (4y) | ||
| Ryan Patrick Mchugh | Registered representative | CFP | Mar 2022 (4y) | |
| Samuel Alexander Gilliland | Registered representative | Mar 2022 (4y) | ||
| Jennifer Lynn Poe | Registered representative | Mar 2022 (4y) | ||
| Kevin Barrett Treacy | Registered representative | Mar 2022 (4y) | ||
| Leslie Robertshaw | Registered representative | Mar 2022 (4y) | ||
| Shayaan Hasan | Registered representative | Mar 2022 (4y) | ||
| Rachel J Jimenez | Registered representative | Mar 2022 (4y) | ||
| Lawrence Charles Denny | Registered representative | Mar 2022 (4y) | ||
| Logan Reed Hershey | Registered representative | Mar 2022 (4y) | ||
| Richard Joseph Bellew | Registered representative | Mar 2022 (4y) | ||
| Katherine Manahan | Registered representative | Mar 2022 (4y) | ||
| Sophia Alexis Hurrell | Registered representative | Mar 2022 (4y) | ||
| John Glenn Elliott | Registered representative | Mar 2022 (4y) | ||
| Jay Timothy Friberg | Registered representative | Mar 2022 (4y) | ||
| Kevin J Knock | Registered representative | Mar 2022 (4y) | ||
| Elyse N Martinez | Registered representative | Mar 2022 (4y) | ||
| Kevin William Kelly | Registered representative | Mar 2022 (4y) | ||
| Daniel Robert Levin | Registered representative | Apr 2022 (4y) | ||
| Joshua Gray Martin | Registered representative | CFP | Apr 2022 (4y) | |
| Shari Miyeko Lum | Registered representative | Apr 2022 (4y) | ||
| Jeffrey Louis Hyman | Registered representative | Apr 2022 (4y) | ||
| Liam Francis Hurley | Registered representative | Apr 2022 (4y) | ||
| Vivian Ashton Frederick | Registered representative | Apr 2022 (4y) | ||
| Rachael Sue Hasler | Registered representative | Apr 2022 (4y) | ||
| David Diller | Registered representative | Apr 2022 (4y) | ||
| Erika Lynn Fournier | Registered representative | Apr 2022 (4y) | ||
| Matthew James Lessard | Registered representative | Apr 2022 (4y) | ||
| Marc I Lipson | Registered representative | Apr 2022 (4y) | ||
| Olga O Kapitskaya | Registered representative | Apr 2022 (4y) | ||
| Sirus Turkzadeh | Registered representative | Apr 2022 (4y) | ||
| Charles Barry Lipson | Registered representative | Apr 2022 (4y) | ||
| Frank Allen Stanley | Registered representative | Apr 2022 (4y) | ||
| Krista Kurth | Registered representative | CFP | Apr 2022 (4y) | |
| Bernadette J Gapusan Neuschwanger | Registered representative | Apr 2022 (4y) | ||
| Donna Cacho Cuaresma | Registered representative | Apr 2022 (4y) | ||
| Jesse Louis Bunich | Registered representative | CFP | Apr 2022 (4y) | |
| Sean Michael Smith | Registered representative | Apr 2022 (4y) | ||
| Aidan Cavallini | Registered representative | Apr 2022 (4y) | ||
| Anthony Dominic Polimeni | Registered representative | Apr 2022 (4y) | ||
| Frank Catrena Vargas | Registered representative | Apr 2022 (4y) | ||
| Joshua Todd Hillman | Registered representative | Apr 2022 (4y) | ||
| Paul Edward Cavallini | Registered representative | Apr 2022 (4y) | ||
| Anne Marie Walsh | Registered representative | Apr 2022 (4y) | ||
| Steve Ticcioni | Registered representative | CFP | May 2022 (4y) | |
| William Michael Dillon | Registered representative | May 2022 (4y) | ||
| Jarret David Johnson | Registered representative | May 2022 (4y) | ||
| Ryan Thomas Quigg | Registered representative | May 2022 (4y) | ||
| Nicholas D Olson | Registered representative | May 2022 (4y) | ||
| Olivia J Jones | Registered representative | May 2022 (4y) | ||
| Aine Marie Tomasso | Registered representative | May 2022 (4y) | ||
| Constantine Kallenekos | Registered representative | May 2022 (4y) | ||
| Frank Lisboa | Registered representative | May 2022 (4y) | ||
| John Gerald Marino | Registered representative | CFP | May 2022 (4y) | |
| Quong Chan Lam | Registered representative | May 2022 (4y) | ||
| Felipe Santiago Blanco | Registered representative | May 2022 (4y) | ||
| Jennifer Ann Carroll | Registered representative | May 2022 (4y) | ||
| Kathleen Anne Ringler | Registered representative | May 2022 (4y) | ||
| Samantha Ashley Angueira | Registered representative | May 2022 (4y) | ||
| Shane Patrick Sienko | Registered representative | May 2022 (4y) | ||
| Crockett Witt Stearns | Registered representative | Jun 2022 (4y) | ||
| Michael Daniel Carroll | Registered representative | Jun 2022 (4y) | ||
| Rachel Denise Sorrentino | Registered representative | CFP | Jun 2022 (4y) | |
| Charles Benson Cannon | Registered representative | Jun 2022 (4y) | ||
| Joseph Hadsell | Registered representative | Jun 2022 (4y) | ||
| Teresa Walsh Folkins | Registered representative | Jun 2022 (4y) | ||
| Amanda Krueger | Registered representative | Jun 2022 (4y) | ||
| Davis Grason Holly | Registered representative | Jun 2022 (4y) | ||
| Joanne M Germak | Registered representative | Jun 2022 (4y) | ||
| Douglas Andrea Christopher | Registered representative | CFA | Jun 2022 (4y) | |
| Kuosen Fung | Registered representative | CFP | Jun 2022 (4y) | |
| Brandon Joseph Hall | Registered representative | Jul 2022 (4y) | ||
| Karla Rose Boor | Registered representative | Jul 2022 (4y) | ||
| Charles George Williams | Registered representative | Jul 2022 (4y) | ||
| Jessica Morgan Dowell | Registered representative | Jul 2022 (4y) | ||
| Mary Terese Wetzel | Registered representative | Jul 2022 (4y) | ||
| Steven Mark D'eredita | Registered representative | Jul 2022 (4y) | ||
| James Sweiching Lin | Registered representative | Jul 2022 (4y) | ||
| Rachael Anne Cannady | Registered representative | Jul 2022 (4y) | ||
| Sean Patrick Naughton | Registered representative | CFA | Jul 2022 (4y) | |
| Jason Scott Deleeuw | Registered representative | CFA | Jul 2022 (4y) | |
| Patricia Ann Smith | Registered representative | Jul 2022 (4y) | ||
| Hayley Christina Goodlow | Registered representative | Aug 2022 (4y) | ||
| Michael Shawn Zachry | Registered representative | Aug 2022 (4y) | ||
| Nathan Berry Hooker | Registered representative | Aug 2022 (4y) | ||
| Jeremy Lansat | Registered representative | Aug 2022 (4y) | ||
| Joel Lansat | Registered representative | Aug 2022 (4y) | ||
| Gretchen Lee Zigman | Registered representative | Aug 2022 (4y) | ||
| Nicholas Constantine Marchio | Registered representative | Aug 2022 (4y) | ||
| Joseph Michelino Sunseri | Registered representative | Aug 2022 (4y) | ||
| Jeffrey Anthony Wilson | Registered representative | Aug 2022 (4y) | ||
| Long Hoang Bao | Registered representative | Aug 2022 (4y) | ||
| Charlotte Calat Di Prete | Registered representative | Aug 2022 (4y) | ||
| Miles Dylan D Alessandro | Registered representative | Aug 2022 (4y) | ||
| Theodore John Crowley | Registered representative | Aug 2022 (4y) | ||
| Jack Edward Pierce | Registered representative | CFP | Aug 2022 (4y) | |
| Douglas Rene Labossiere | Registered representative | Aug 2022 (4y) | ||
| Brian Christopher Coatoam | Registered representative | CFP | Aug 2022 (4y) | |
| Derek Amron Grimm | Registered representative | CFP | Aug 2022 (4y) | |
| Janet Kristina Mcconkey | Registered representative | Aug 2022 (4y) | ||
| Ryan Plank | Registered representative | CFP | Aug 2022 (4y) | |
| Ruksar N. Karmali | Registered representative | Aug 2022 (4y) | ||
| Cynthia Marie Mchugh | Registered representative | CFP | Sep 2022 (4y) | |
| Joseph William Hudak | Registered representative | Sep 2022 (4y) | ||
| Matthew Armand Clemens | Registered representative | CFP | Sep 2022 (4y) | |
| William Henry Hamel | Registered representative | Sep 2022 (4y) | ||
| Alexandra Clement | Registered representative | Sep 2022 (4y) | ||
| Andrew Lincoln Lyon | Registered representative | Sep 2022 (4y) | ||
| Morgan C Metcalf | Registered representative | Sep 2022 (4y) | ||
| Zachary Robert Funyak | Registered representative | Sep 2022 (4y) | ||
| Cari Marie Neitzey | Registered representative | Sep 2022 (4y) | ||
| Mara Daniela Sousa Da Silva | Registered representative | CFP | Sep 2022 (4y) | |
| Peter Michael Maiurro | Registered representative | Sep 2022 (4y) | ||
| Vincent Fallon | Registered representative | Sep 2022 (4y) | ||
| Alex Hoffman | Registered representative | Sep 2022 (4y) | ||
| Lisa Marie Murray | Registered representative | Sep 2022 (4y) | ||
| Blake L Wilson | Registered representative | Sep 2022 (4y) | ||
| Mitchell Robert O'brien | Registered representative | Sep 2022 (4y) | ||
| Benjamin Lewis | Registered representative | Sep 2022 (4y) | ||
| Brian M. Nolan | Registered representative | CFA | Sep 2022 (4y) | |
| Courtney Shultz | Registered representative | Sep 2022 (4y) | ||
| Megan Ann Wilson | Registered representative | Sep 2022 (4y) | ||
| Shari Pamela Barnett | Registered representative | Sep 2022 (4y) | ||
| Matthew Eric Coopersmith | Registered representative | Sep 2022 (4y) | ||
| Michael C Nolan | Registered representative | Sep 2022 (4y) | ||
| Natalia Ijavoga Isambi | Registered representative | Sep 2022 (4y) | ||
| Shawn Anderson | Registered representative | Sep 2022 (4y) | ||
| Liam Holohan | Registered representative | Sep 2022 (4y) | ||
| Eric Farzad Schumer | Registered representative | Sep 2022 (4y) | ||
| Gus James Marzavas | Registered representative | Sep 2022 (4y) | ||
| Philip Matthew Mercio | Registered representative | Sep 2022 (4y) | ||
| Anthony Michael Sardo | Registered representative | Sep 2022 (4y) | ||
| Alexandra Grace Goodelman | Registered representative | CFP | Sep 2022 (4y) | |
| Brandon James Jungmann | Registered representative | Sep 2022 (4y) | ||
| Kevin Matthew Prell | Registered representative | Sep 2022 (4y) | ||
| Richard Joseph Kneip | Registered representative | Sep 2022 (4y) | ||
| Dianne Marie Szabo | Registered representative | Sep 2022 (4y) | ||
| John Barry Clemens | Registered representative | Sep 2022 (4y) | ||
| John Fawcett O'donnell | Registered representative | Oct 2022 (4y) | ||
| Ashton James Beck | Registered representative | Oct 2022 (4y) | ||
| Brooke Miller | Registered representative | Oct 2022 (4y) | ||
| Atul Kumar Bhatia | Registered representative | CFA | Oct 2022 (4y) | |
| Gerrad Thomas Wade Maxwell | Registered representative | Oct 2022 (4y) | ||
| Hiba Chehab | Registered representative | Oct 2022 (4y) | ||
| Allison Elizabeth Mc Farren | Registered representative | Oct 2022 (4y) | ||
| Brett Larry Winkelman | Registered representative | Oct 2022 (4y) | ||
| Christopher William Kollitz | Registered representative | Oct 2022 (4y) | ||
| Carolina Blanco | Registered representative | Oct 2022 (4y) | ||
| Drew Scott Roggenburk | Registered representative | CFP | Oct 2022 (4y) | |
| Jeffrey Alan Brausch | Registered representative | Oct 2022 (4y) | ||
| Sonja M. Anderson | Registered representative | CFP | Oct 2022 (4y) | |
| Brad Yablonsky | Registered representative | Oct 2022 (4y) | ||
| Byron David Trochman | Registered representative | Oct 2022 (4y) | ||
| Carl Matthew Eckelman | Registered representative | Oct 2022 (4y) | ||
| Chad William Stark | Registered representative | Oct 2022 (4y) | ||
| Christopher Stephen Meier | Registered representative | Oct 2022 (4y) | ||
| Jack Nelson Lamm | Registered representative | CFP | Oct 2022 (4y) | |
| Brent Bosart | Registered representative | Oct 2022 (4y) | ||
| John David Reba | Registered representative | Oct 2022 (4y) | ||
| Joseph Sam Bergamo | Registered representative | Oct 2022 (4y) | ||
| Kevin Christopher Krul | Registered representative | Oct 2022 (4y) | ||
| Stephanie L. Mckay | Registered representative | Oct 2022 (4y) | ||
| Justin Boyd Welch | Registered representative | Oct 2022 (4y) | ||
| Michael Ryan Delich | Registered representative | Oct 2022 (4y) | ||
| Bruce A Sandry | Registered representative | Oct 2022 (4y) | ||
| Christina Sandry | Registered representative | Oct 2022 (4y) | ||
| Gregory Allen Kostka | Registered representative | Oct 2022 (4y) | ||
| Jennifer Lynne Musal | Registered representative | Oct 2022 (4y) | ||
| Katie L Meloan | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Sean Patrick Howe | Registered representative | CFP | Oct 2022 (4y) | |
| Skyler David Sandry | Registered representative | Oct 2022 (4y) | ||
| Susan Mohamed Singh | Registered representative | Oct 2022 (4y) | ||
| Tammie Lynn Standford | Registered representative | Oct 2022 (4y) | ||
| William James Sandry | Registered representative | Oct 2022 (4y) | ||
| Stephen Ross Saxon | Registered representative | Oct 2022 (4y) | ||
| Kent David Salfi | Registered representative | Oct 2022 (4y) | ||
| Robert Nathan Schultz | Registered representative | Oct 2022 (4y) | ||
| Benjamin Alan Weddle | Registered representative | Oct 2022 (4y) | ||
| Brendon C. Harbron | Registered representative | Oct 2022 (4y) | ||
| Daniel P. Chillemi | Registered representative | Oct 2022 (4y) | ||
| David W. Bartz | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| George Joseph Kempf | Registered representative | CFP | Oct 2022 (4y) | |
| Jordan Andrew Frye | Registered representative | CFP | Oct 2022 (4y) | |
| Stephen Frederick Owen | Registered representative | Oct 2022 (4y) | ||
| Darrin Treanor | Registered representative | Oct 2022 (4y) | ||
| Maria Angela Reyes | Registered representative | Oct 2022 (4y) | ||
| Melissa Leigh Winn | Registered representative | Oct 2022 (4y) | ||
| Daniel Stephen Smith | Registered representative | CFA | Oct 2022 (4y) | |
| Thomas Patrick O Connor | Registered representative | Nov 2022 (4y) | ||
| Samantha Basile | Registered representative | Nov 2022 (4y) | ||
| Jackson Mc Donald | Registered representative | Nov 2022 (4y) | ||
| Andrea Lynn Ervin | Registered representative | Nov 2022 (4y) | ||
| Jessica Leigh Beinlich | Registered representative | Nov 2022 (4y) | ||
| Jessica Rose Maisner | Registered representative | Nov 2022 (4y) | ||
| Jennifer Lynn Thoennes | Registered representative | Nov 2022 (4y) | ||
| John Oliverio | Registered representative | Nov 2022 (4y) | ||
| Mark Allen Gregware | Registered representative | Nov 2022 (4y) | ||
| William Charles Harbert | Registered representative | Nov 2022 (4y) | ||
| Ryan Michael Penders | Registered representative | Nov 2022 (4y) | ||
| Christina Lenze | Registered representative | Nov 2022 (4y) | ||
| Lauren Yung Phan | Registered representative | Nov 2022 (4y) | ||
| George Grube | Registered representative | Dec 2022 (4y) | ||
| Yan Chyrle Flores Maxilum | Registered representative | Dec 2022 (4y) | ||
| Julie L Brandt | Registered representative | Dec 2022 (4y) | ||
| Stephanie Haderspock | Registered representative | Dec 2022 (4y) | ||
| Faustina Lene Legett | Registered representative | Dec 2022 (4y) | ||
| Stephen Jae Shin | Registered representative | Dec 2022 (4y) | ||
| Bonnie Michelle Bowling | Registered representative | Dec 2022 (4y) | ||
| Sarah Ann Paiva | Registered representative | Dec 2022 (4y) | ||
| James Leo Carlisle | Registered representative | Dec 2022 (4y) | ||
| Luke Bernard | Registered representative | Dec 2022 (4y) | ||
| Robert Gustav Lovgren | Registered representative | Dec 2022 (4y) | ||
| Bonnie Jean Musal | Registered representative | Dec 2022 (4y) | ||
| Kathryn Marie Akemann | Registered representative | Dec 2022 (4y) | ||
| Kelsey Brink | Registered representative | CFP | Dec 2022 (4y) | |
| Kirsten Robinson | Registered representative | Dec 2022 (4y) | ||
| Kristin Boezelijn Wolfe | Registered representative | Dec 2022 (4y) | ||
| Tyler James Lattery | Registered representative | Dec 2022 (4y) | ||
| Marissa Marie Swan | Registered representative | Dec 2022 (4y) | ||
| Rosemaria Bernadette Oberlin | Registered representative | Dec 2022 (4y) | ||
| Jason D Brown | Registered representative | Jan 2023 (4y) | ||
| Josh J Williams | Registered representative | Jan 2023 (4y) | ||
| Rebecca Dangaa Baron | Registered representative | Jan 2023 (4y) | ||
| Tobin J Pyle | Registered representative | Jan 2023 (4y) | ||
| Patricia Joan Groshelle | Registered representative | Jan 2023 (4y) | ||
| Emil Baczyk | Registered representative | CFP | Jan 2023 (4y) | |
| James L Van De Ven | Registered representative | Jan 2023 (4y) | ||
| Steven David Scholl | Registered representative | CFP | Jan 2023 (4y) | |
| John Anthony Fierro | Registered representative | CFP | Jan 2023 (4y) | |
| Julian Lawrence Manolio | Registered representative | Jan 2023 (4y) | ||
| Jarrad John Di Maggio | Registered representative | Jan 2023 (4y) | ||
| Matthew Randall Loff | Registered representative | Jan 2023 (4y) | ||
| Cathy Pham York | Registered representative | Jan 2023 (4y) | ||
| Lisa Listro | Registered representative | Jan 2023 (4y) | ||
| Steven James Poor | Registered representative | Jan 2023 (4y) | ||
| Bruce Edward Wells | Registered representative | Feb 2023 (4y) | ||
| Jeremy Dean Wytaske | Registered representative | Feb 2023 (4y) | ||
| Joel Duane Spry | Registered representative | Feb 2023 (4y) | ||
| Sarah Lynn Joseph | Registered representative | Feb 2023 (4y) | ||
| Timothy Brian Yarbrough | Registered representative | Feb 2023 (3y) | ||
| David Duane Kasowski | Registered representative | Feb 2023 (3y) | ||
| Benjamin Breeding | Registered representative | Feb 2023 (3y) | ||
| Catharine Glenn Weber | Registered representative | Feb 2023 (3y) | ||
| Matthew Kronenberg | Registered representative | Feb 2023 (3y) | ||
| Hannah Heidrich | Registered representative | Feb 2023 (3y) | ||
| Dmitry Farbman | Registered representative | Feb 2023 (3y) | ||
| Cindy Lou Woolf | Registered representative | Feb 2023 (3y) | ||
| Shelly Lee Stevens | Registered representative | Feb 2023 (3y) | ||
| Julie Y Shieh | Registered representative | Feb 2023 (3y) | ||
| Lindsay Kmak Strickland | Registered representative | Feb 2023 (3y) | ||
| Ruby Yingchi Lin | Registered representative | Feb 2023 (3y) | ||
| Cynthia Holmes Stacy | Registered representative | Feb 2023 (3y) | ||
| Margret Marie Ortloff | Registered representative | Feb 2023 (3y) | ||
| Stephanie Bonsignore Fexer | Registered representative | Feb 2023 (3y) | ||
| Luke Nels Johansen | Registered representative | Mar 2023 (3y) | ||
| Christopher Michael Faggioni | Registered representative | Mar 2023 (3y) | ||
| Mark Andrew Palombi | Registered representative | CFP | Mar 2023 (3y) | |
| Shannon M Murphy | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Forgerson | Registered representative | Mar 2023 (3y) | ||
| Kyle Daniel Sheckells | Registered representative | Mar 2023 (3y) | ||
| Nona Agbo | Registered representative | Mar 2023 (3y) | ||
| Troy A Randall | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Marc Kim | Registered representative | Mar 2023 (3y) | ||
| Alan Frank Robinson | Registered representative | Mar 2023 (3y) | ||
| Allison Eve Krider | Registered representative | Mar 2023 (3y) | ||
| Jacob La Bere Geiermann | Registered representative | Mar 2023 (3y) | ||
| Eric Sumanaru | Registered representative | Mar 2023 (3y) | ||
| Nicholas Durso | Registered representative | Mar 2023 (3y) | ||
| Bryan J Niles | Registered representative | Mar 2023 (3y) | ||
| Marissa Tirona Mariano | Registered representative | Mar 2023 (3y) | ||
| Noah Scott | Registered representative | Mar 2023 (3y) | ||
| Lucas Martin Trainor | Registered representative | Mar 2023 (3y) | ||
| Virginia A Fesko | Registered representative | Mar 2023 (3y) | ||
| Aaron Neil Michaelson | Registered representative | Mar 2023 (3y) | ||
| Christiana Ofori | Registered representative | Mar 2023 (3y) | ||
| Anthony Edward Cristiano | Registered representative | Mar 2023 (3y) | ||
| Panagiotis Nikakis | Registered representative | Mar 2023 (3y) | ||
| Scott Thomas Harrison | Registered representative | Apr 2023 (3y) | ||
| Mary Johnson Howard | Registered representative | Apr 2023 (3y) | ||
| Andrew Robert Alvey | Registered representative | Apr 2023 (3y) | ||
| Cole Oliver | Registered representative | CFP | Apr 2023 (3y) | |
| Jack Timothy Nasby | Registered representative | Apr 2023 (3y) | ||
| Adam Douglas Macdonald | Registered representative | Apr 2023 (3y) | ||
| Todd Wayne Halbrook | Registered representative | CFP | Apr 2023 (3y) | |
| Kevin Gerard Mathews | Registered representative | Apr 2023 (3y) | ||
| Alanna Caroline Hitscherich | Registered representative | Apr 2023 (3y) | ||
| Brandon Jay Ellingson | Registered representative | Apr 2023 (3y) | ||
| Jacob W Girouard | Registered representative | CFP | Apr 2023 (3y) | |
| Nicholas T Dzuna | Registered representative | Apr 2023 (3y) | ||
| Jackson James Truax | Registered representative | Apr 2023 (3y) | ||
| Theresa Calkins | Registered representative | Apr 2023 (3y) | ||
| Susan L Sechter | Registered representative | Apr 2023 (3y) | ||
| Stephanie Hernandez | Registered representative | Apr 2023 (3y) | ||
| Theresa Allen | Registered representative | Apr 2023 (3y) | ||
| Brian John Addington | Registered representative | Apr 2023 (3y) | ||
| Matthew J Gherity | Registered representative | Apr 2023 (3y) | ||
| Joshua Harris | Registered representative | Apr 2023 (3y) | ||
| Naing Lin | Registered representative | CFP | Apr 2023 (3y) | |
| Susan My Fong | Registered representative | Apr 2023 (3y) | ||
| Ryan Dennis Naatjes | Registered representative | Apr 2023 (3y) | ||
| Eric Scott Hager | Registered representative | CFA | Apr 2023 (3y) | |
| Mark Allen Friedman | Registered representative | Apr 2023 (3y) | ||
| Megan Kirsten Howard | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Mitchell Ryan Peters | Registered representative | Apr 2023 (3y) | ||
| Michael Kilborn Russell | Registered representative | Apr 2023 (3y) | ||
| Victoria Lorraine Blanco | Registered representative | Apr 2023 (3y) | ||
| Julie Mary Perrella | Registered representative | May 2023 (3y) | ||
| Leland Gonzales | Registered representative | May 2023 (3y) | ||
| Alexander Vincent Friend | Registered representative | May 2023 (3y) | ||
| Stacia Ann Apostolos | Registered representative | May 2023 (3y) | ||
| Aimee Rebecca Hazelwood | Registered representative | May 2023 (3y) | ||
| Mark Ronald Nickel | Registered representative | May 2023 (3y) | ||
| Michael Bingham Cox | Registered representative | CFP | May 2023 (3y) | |
| Christian Utecht | Registered representative | May 2023 (3y) | ||
| Jason Michael Tom | Registered representative | May 2023 (3y) | ||
| Craig William Strong | Registered representative | May 2023 (3y) | ||
| Andrew Nicholas Embery | Registered representative | CFP | May 2023 (3y) | |
| Devon E Embery | Registered representative | May 2023 (3y) | ||
| Trevor Kennon Malone | Registered representative | May 2023 (3y) | ||
| William Newman Abraham | Registered representative | CFP | May 2023 (3y) | |
| Colin Mc Gaugh | Registered representative | May 2023 (3y) | ||
| Kayla M Speth | Registered representative | May 2023 (3y) | ||
| David W Roth | Registered representative | May 2023 (3y) | ||
| Gordon Todd Dale | Registered representative | May 2023 (3y) | ||
| Jingyu Xu | Registered representative | May 2023 (3y) | ||
| Jenifer Kim Woolcott | Registered representative | May 2023 (3y) | ||
| Daysi Marina Galo Mc Innis | Registered representative | May 2023 (3y) | ||
| Janine Louise Trujillo | Registered representative | May 2023 (3y) | ||
| Peter Ivan Dierks | Registered representative | May 2023 (3y) | ||
| Tammy Bernette Haygood | Registered representative | May 2023 (3y) | ||
| Lucas William Sexton | Registered representative | May 2023 (3y) | ||
| Taryn Teves | Registered representative | May 2023 (3y) | ||
| Megan W Kessler | Registered representative | Jun 2023 (3y) | ||
| Kevin Henry Mac Intyre | Registered representative | Jun 2023 (3y) | ||
| Scott Matthew Grenert | Registered representative | Jun 2023 (3y) | ||
| Diane K Kohler | Registered representative | Jun 2023 (3y) | ||
| Alex Kent Zachman | Registered representative | Jun 2023 (3y) | ||
| Amy Kembra Hustedde | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Steven Gomer | Registered representative | Jun 2023 (3y) | ||
| Wendy Christine Gilmer | Registered representative | CFP | Jun 2023 (3y) | |
| Leonard Warren | Registered representative | CFP | Jun 2023 (3y) | |
| Thomas Christopher Roe | Registered representative | Jun 2023 (3y) | ||
| James Stuart Okun | Registered representative | Jun 2023 (3y) | ||
| William Steele Nugent | Registered representative | Jun 2023 (3y) | ||
| Alicja Jackiewicz | Registered representative | Jun 2023 (3y) | ||
| Alon Goldblum | Registered representative | Jun 2023 (3y) | ||
| Liam S Delaney | Registered representative | Jun 2023 (3y) | ||
| Taylor Lynn Wood | Registered representative | Jun 2023 (3y) | ||
| William F Packard | Registered representative | Jun 2023 (3y) | ||
| David Jonathan Haile | Registered representative | Jun 2023 (3y) | ||
| Craig Allen Weber | Registered representative | Jun 2023 (3y) | ||
| Emily Ann Schoettler | Registered representative | Jun 2023 (3y) | ||
| Ernesto Michael Duran | Registered representative | Jun 2023 (3y) | ||
| Ashley Cecilia Gauvin | Registered representative | Jun 2023 (3y) | ||
| Ryan T Galardi | Registered representative | CFP | Jun 2023 (3y) | |
| Peter Wills | Registered representative | Jul 2023 (3y) | ||
| Scott Michael Cuykendall | Registered representative | Jul 2023 (3y) | ||
| Steven Russell Whittaker | Registered representative | Jul 2023 (3y) | ||
| Caroline Cameron Theobald | Registered representative | Jul 2023 (3y) | ||
| Matthew E Duffy | Registered representative | Jul 2023 (3y) | ||
| Michael Joseph Duffy | Registered representative | Jul 2023 (3y) | ||
| Michelle Lou Reynolds | Registered representative | Jul 2023 (3y) | ||
| Reed Padgett | Registered representative | CFP | Jul 2023 (3y) | |
| Jonathan Doeren | Registered representative | Jul 2023 (3y) | ||
| Larry Michael Heuple | Registered representative | CFP | Jul 2023 (3y) | |
| Steven A. Sackel | Registered representative | Jul 2023 (3y) | ||
| Jack Tannahill | Registered representative | Jul 2023 (3y) | ||
| Jack Edward Murphy | Registered representative | Jul 2023 (3y) | ||
| Sarah Anne Schneeberger | Registered representative | Jul 2023 (3y) | ||
| Sydney Alexis Clayton | Registered representative | Jul 2023 (3y) | ||
| David Bracha | Registered representative | Jul 2023 (3y) | ||
| Isaiah Zachary Moya | Registered representative | Jul 2023 (3y) | ||
| Amy Jo Lawin | Registered representative | Jul 2023 (3y) | ||
| Brian Jacob Bergeron | Registered representative | CFP | Jul 2023 (3y) | |
| Casey Bramlet | Registered representative | Aug 2023 (3y) | ||
| Katie Ann Jackson | Registered representative | Aug 2023 (3y) | ||
| Lucas K Chavez | Registered representative | Aug 2023 (3y) | ||
| Jennifer Joy Maneatis | Registered representative | CFP | Aug 2023 (3y) | |
| Anastasia J Duble | Registered representative | Aug 2023 (3y) | ||
| Madeleine G Condron | Registered representative | Aug 2023 (3y) | ||
| Melanie Baird | Registered representative | Aug 2023 (3y) | ||
| Patrick M Ford | Registered representative | CFP | Aug 2023 (3y) | |
| William Evan James | Registered representative | Aug 2023 (3y) | ||
| Molly M Montgomery | Registered representative | Aug 2023 (3y) | ||
| Bianca Nicole Tengson Huang | Registered representative | Aug 2023 (3y) | ||
| Daniel Andreas Vardag | Registered representative | Aug 2023 (3y) | ||
| Emmanuel Kwesi Dickson | Registered representative | Aug 2023 (3y) | ||
| Harris Stephen Tuchman | Registered representative | Aug 2023 (3y) | ||
| Katherine Kosior Pajazetovic | Registered representative | Aug 2023 (3y) | ||
| Rebecca Glasgow | Registered representative | CFP | Aug 2023 (3y) | |
| Wayne Curt Rubinas | Registered representative | Aug 2023 (3y) | ||
| Catherine Mericka | Registered representative | CFP | Aug 2023 (3y) | |
| Leslie Ann Lauer | Registered representative | Aug 2023 (3y) | ||
| Dianna Marie Moore | Registered representative | Aug 2023 (3y) | ||
| Brian Lee Anderson | Registered representative | CFP | Aug 2023 (3y) | |
| Kurt Samuel Hirshman | Registered representative | Aug 2023 (3y) | ||
| Raj Christian Bhattacharya | Registered representative | Aug 2023 (3y) | ||
| Critt Daniel Walton | Registered representative | CFP | Aug 2023 (3y) | |
| Andrew Thomas Becket | Registered representative | Aug 2023 (3y) | ||
| Dominic Nicholas Zmarlicki | Registered representative | Aug 2023 (3y) | ||
| Dana D. Breland | Registered representative | Aug 2023 (3y) | ||
| Bennett Warren Canady | Registered representative | Sep 2023 (3y) | ||
| Olivia Lee Wood | Registered representative | Sep 2023 (3y) | ||
| Rebecca Faith Morin | Registered representative | Sep 2023 (3y) | ||
| Taunya Rae Sell | Registered representative | Sep 2023 (3y) | ||
| Alec Robert Wahlin | Registered representative | CFP | Sep 2023 (3y) | |
| Rebecca April Yates | Registered representative | Sep 2023 (3y) | ||
| Stephen Scott Siegle | Registered representative | Sep 2023 (3y) | ||
| Brett T Mc Donough | Registered representative | Sep 2023 (3y) | ||
| Brian Harkness Wells | Registered representative | Sep 2023 (3y) | ||
| John Michael Foley | Registered representative | Sep 2023 (3y) | ||
| Jacob A Chavez | Registered representative | CFP | Sep 2023 (3y) | |
| Cole Philip Rowsell | Registered representative | Sep 2023 (3y) | ||
| Tsvetelina Sasheva Dean | Registered representative | Sep 2023 (3y) | ||
| Eric Anthony Taylor | Registered representative | Sep 2023 (3y) | ||
| Penny L Mckinney | Registered representative | Sep 2023 (3y) | ||
| Scott Jones | Registered representative | Sep 2023 (3y) | ||
| Jeffrey A De Young | Registered representative | Sep 2023 (3y) | ||
| Lagina Letitia Nicholas | Registered representative | Sep 2023 (3y) | ||
| Sylvia Isolde Raith | Registered representative | Sep 2023 (3y) | ||
| Kenneth F Bradley | Registered representative | Oct 2023 (3y) | ||
| Mark Michael Lucas | Registered representative | Oct 2023 (3y) | ||
| Nathaniel Paul Spratley | Registered representative | Oct 2023 (3y) | ||
| Patrick Coleman Mccarthy | Registered representative | Oct 2023 (3y) | ||
| Thomas Wayne Lucas | Registered representative | CFP | Oct 2023 (3y) | |
| Travis J Klingeisen | Registered representative | Oct 2023 (3y) | ||
| Brandon J Gorsky | Registered representative | Oct 2023 (3y) | ||
| Carol Anne Doyle | Registered representative | Oct 2023 (3y) | ||
| J Daniel Pluff | Registered representative | Oct 2023 (3y) | ||
| Kimberly Payne | Registered representative | Oct 2023 (3y) | ||
| Paul Andrew Mucci | Registered representative | Oct 2023 (3y) | ||
| Tyler Francis Cain | Registered representative | Oct 2023 (3y) | ||
| Andrew Stewart Katchen | Registered representative | Oct 2023 (3y) | ||
| John Langdon Brown | Registered representative | Oct 2023 (3y) | ||
| Aurelio Roy Decaro | Registered representative | Oct 2023 (3y) | ||
| Appalonia Tankersley | Registered representative | Oct 2023 (3y) | ||
| Katie Jane Stefanski | Registered representative | Oct 2023 (3y) | ||
| Max Henry Eisenberg | Registered representative | Oct 2023 (3y) | ||
| Sean Francis Mcfadden | Registered representative | Oct 2023 (3y) | ||
| Ann Marie Ade | Registered representative | Oct 2023 (3y) | ||
| Chelsea Elizabeth Wise | Registered representative | CFP | Oct 2023 (3y) | |
| John Mike Pokladowski | Registered representative | Oct 2023 (3y) | ||
| Bruce Allen Lewin | Registered representative | Oct 2023 (3y) | ||
| Kibb Harlon King | Registered representative | Oct 2023 (3y) | ||
| Todd Allen Pace | Registered representative | Oct 2023 (3y) | ||
| James T Lambert | Registered representative | Oct 2023 (3y) | ||
| Jeremy Ruccio | Registered representative | Oct 2023 (3y) | ||
| Andrew James Foote | Registered representative | Oct 2023 (3y) | ||
| Bita Asgari | Registered representative | Oct 2023 (3y) | ||
| Lizbeth Sain | Registered representative | Oct 2023 (3y) | ||
| Richard Raymond Schnier | Registered representative | Oct 2023 (3y) | ||
| Tayler Rector | Registered representative | Oct 2023 (3y) | ||
| Caden Joseph Kneip | Registered representative | Oct 2023 (3y) | ||
| Kevin Charles Bednar | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Patrick Berens | Registered representative | Oct 2023 (3y) | ||
| James Senderling | Registered representative | Oct 2023 (3y) | ||
| Carl Joseph Hattermann | Registered representative | Oct 2023 (3y) | ||
| Steven Michael Keesal | Registered representative | Oct 2023 (3y) | ||
| Daniel Chasen Cole | Registered representative | Oct 2023 (3y) | ||
| Lisa M Mckenney | Registered representative | Oct 2023 (3y) | ||
| Pa Chia Vue | Registered representative | Nov 2023 (3y) | ||
| Augustus Raul Bishop | Registered representative | Nov 2023 (3y) | ||
| Allison N Small | Registered representative | Nov 2023 (3y) | ||
| Marc A De Santis | Registered representative | Nov 2023 (3y) | ||
| Natalie Sweazey | Registered representative | Nov 2023 (3y) | ||
| Erik Lee Yates | Registered representative | Nov 2023 (3y) | ||
| Carla A Novak | Registered representative | Nov 2023 (3y) | ||
| Christopher George Nice | Registered representative | Nov 2023 (3y) | ||
| Seth Jones | Registered representative | Nov 2023 (3y) | ||
| Xavier Alexis Marmol | Registered representative | CFP | Nov 2023 (3y) | |
| Sofia Reyes Mundy | Registered representative | Nov 2023 (3y) | ||
| Christopher Shawn Hebert | Registered representative | CFP | Nov 2023 (3y) | |
| Frank Mitchell Lequerica | Registered representative | Nov 2023 (3y) | ||
| Stephen C Anderson | Registered representative | CFP | Nov 2023 (3y) | |
| Donald Winger | Registered representative | Dec 2023 (3y) | ||
| Annelise Wildfang | Registered representative | Dec 2023 (3y) | ||
| Joshua Leon | Registered representative | Dec 2023 (3y) | ||
| Katherine Jane Gross | Registered representative | Dec 2023 (3y) | ||
| Samuel Chapman Shafer | Registered representative | Dec 2023 (3y) | ||
| James P Wyman | Registered representative | Dec 2023 (3y) | ||
| Fernando Javier Lema | Registered representative | Dec 2023 (3y) | ||
| Sarah B Pollinger | Registered representative | Dec 2023 (3y) | ||
| William Austin Barnek | Registered representative | Dec 2023 (3y) | ||
| Amy Lynn Crenshaw | Registered representative | Dec 2023 (3y) | ||
| Scott Douglas Skinner | Registered representative | Dec 2023 (3y) | ||
| Jennifer L Reardon | Registered representative | CFP | Dec 2023 (3y) | |
| David Charles Almquist | Registered representative | Dec 2023 (3y) | ||
| Evan Mark D'onofrio | Registered representative | Dec 2023 (3y) | ||
| Geraldine Marie Shea | Registered representative | Dec 2023 (3y) | ||
| Jeffrey Parker Appel | Registered representative | Dec 2023 (3y) | ||
| John Robert Turco | Registered representative | Dec 2023 (3y) | ||
| Lisa Maria Austin | Registered representative | Dec 2023 (3y) | ||
| Andrew D White | Registered representative | Dec 2023 (3y) | ||
| Mikaela Sue Lelonek | Registered representative | Dec 2023 (3y) | ||
| Paul G Giglio | Registered representative | Dec 2023 (3y) | ||
| Michelle Colombo | Registered representative | Jan 2024 (3y) | ||
| Susan Amanda Frillman | Registered representative | Jan 2024 (3y) | ||
| Jacob Paul Sestero | Registered representative | Jan 2024 (3y) | ||
| Adam Michael Vandamme | Registered representative | Jan 2024 (3y) | ||
| Elizabeth R Gustafson | Registered representative | Jan 2024 (3y) | ||
| Jeremy David Beakes | Registered representative | CFP | Jan 2024 (3y) | |
| Paul Scott Brinkley | Registered representative | Jan 2024 (3y) | ||
| Anthony Beau Carmichael | Registered representative | Jan 2024 (3y) | ||
| Nicolas St Geme | Registered representative | Jan 2024 (3y) | ||
| Jacob Edward Gaskell | Registered representative | Jan 2024 (3y) | ||
| Sam Matthew Ceniccola | Registered representative | CFP | Jan 2024 (3y) | |
| Christy Helmer Dryden | Registered representative | Jan 2024 (3y) | ||
| Joan Du Quette | Registered representative | Jan 2024 (3y) | ||
| John Mc Carthy | Registered representative | Jan 2024 (3y) | ||
| Justin Flores | Registered representative | Jan 2024 (3y) | ||
| Colleen Carroccio Gormley | Registered representative | CFP | Feb 2024 (2y) | |
| Kevin Wayne Hawkinson | Registered representative | Feb 2024 (2y) | ||
| Robert Matthew Donovan | Registered representative | Feb 2024 (2y) | ||
| Roy Hamish Lochtenberg | Registered representative | Feb 2024 (2y) | ||
| Analicia Grant | Registered representative | Feb 2024 (2y) | ||
| Kevin P Ryan | Registered representative | Feb 2024 (2y) | ||
| Walker Herzog | Registered representative | Feb 2024 (2y) | ||
| Dean Andrew Bahniuk | Registered representative | Feb 2024 (2y) | ||
| Jeremy Martin | Registered representative | Feb 2024 (2y) | ||
| Mckenzie Kaye Anderson | Registered representative | Feb 2024 (2y) | ||
| Braylin Mensik | Registered representative | Feb 2024 (2y) | ||
| John W Shamlian | Registered representative | Feb 2024 (2y) | ||
| Quinn Shamlian | Registered representative | Feb 2024 (2y) | ||
| Stacy Ann Hinkemeyer | Registered representative | Feb 2024 (2y) | ||
| Samantha Kristine Fiedler | Registered representative | Feb 2024 (2y) | ||
| Deborah L Goode | Registered representative | Feb 2024 (2y) | ||
| Dianne Marie Angelo | Registered representative | Feb 2024 (2y) | ||
| Kristin Julie Housler | Registered representative | Feb 2024 (2y) | ||
| Audree Ginsburg | Registered representative | CFP | Mar 2024 (2y) | |
| Daniel James Jackson | Registered representative | Mar 2024 (2y) | ||
| Grant Thompson Carter | Registered representative | Mar 2024 (2y) | ||
| Maliha M Bukhari | Registered representative | Mar 2024 (2y) | ||
| Robert Tyler Thomas | Registered representative | CFP | Mar 2024 (2y) | |
| Ryan P Jennings | Registered representative | CFP | Mar 2024 (2y) | |
| Virginia Elizabeth Morettin | Registered representative | Mar 2024 (2y) | ||
| Christopher Liermann | Registered representative | Mar 2024 (2y) | ||
| Jack E Fitzgerald | Registered representative | Mar 2024 (2y) | ||
| Crystal Roger | Registered representative | Mar 2024 (2y) | ||
| Helene Marcia Naftali | Registered representative | Mar 2024 (2y) | ||
| Andrew John Frye | Registered representative | CFP Personal Financial Specialist CFA | Mar 2024 (2y) | |
| John Franklin Hamilton | Registered representative | Mar 2024 (2y) | ||
| Allison Maee Jacobson | Registered representative | Mar 2024 (2y) | ||
| Ashley N Balikes | Registered representative | Mar 2024 (2y) | ||
| Joseph Jachimiak | Registered representative | Mar 2024 (2y) | ||
| Robert Morgan Tobin | Registered representative | Mar 2024 (2y) | ||
| Dylan M Cruise | Registered representative | Mar 2024 (2y) | ||
| Caroline Mc Kell Crowell | Registered representative | Mar 2024 (2y) | ||
| Dean Rocco Calderoni | Registered representative | Mar 2024 (2y) | ||
| Kevin Michael O'shea | Registered representative | Mar 2024 (2y) | ||
| Mark Evan Toumajian | Registered representative | Mar 2024 (2y) | ||
| Robert Daniel Moquin | Registered representative | CFP | Mar 2024 (2y) | |
| Rosanna F Bragdon | Registered representative | Mar 2024 (2y) | ||
| Caitlyn Marie Miano | Registered representative | Mar 2024 (2y) | ||
| David James Jorgensen | Registered representative | Mar 2024 (2y) | ||
| Melissa Lynn Kouba | Registered representative | Mar 2024 (2y) | ||
| Alison Scherr | Registered representative | Mar 2024 (2y) | ||
| Amrit Mathur | Registered representative | Mar 2024 (2y) | ||
| Sanjay Mathur | Registered representative | Mar 2024 (2y) | ||
| Stephen Christopher Doyle | Registered representative | Mar 2024 (2y) | ||
| Zachary Dickson | Registered representative | Mar 2024 (2y) | ||
| Heidi Elizabeth Stangl | Registered representative | CFP | Mar 2024 (2y) | |
| Cameron S. Frazier | Registered representative | Mar 2024 (2y) | ||
| Andrew Roger Gustafson | Registered representative | Apr 2024 (2y) | ||
| Corbin Allan Chevaux | Registered representative | Apr 2024 (2y) | ||
| Kiernan Nicole Keller | Registered representative | Apr 2024 (2y) | ||
| Paul Anthony Lavarta | Registered representative | Apr 2024 (2y) | ||
| Amy L Melton | Registered representative | Apr 2024 (2y) | ||
| Patrick Mc Graw | Registered representative | Apr 2024 (2y) | ||
| Aaron Jonathan Dykas | Registered representative | Apr 2024 (2y) | ||
| Alyssa M Titus | Registered representative | Apr 2024 (2y) | ||
| John Holden Hershey | Registered representative | Apr 2024 (2y) | ||
| John M Terry | Registered representative | Apr 2024 (2y) | ||
| Rachael Shan Aspaturian | Registered representative | Apr 2024 (2y) | ||
| Lisa Rene Schaffer | Registered representative | Apr 2024 (2y) | ||
| Randon Reginald Dauman | Registered representative | Apr 2024 (2y) | ||
| Michael Weissman | Registered representative | Apr 2024 (2y) | ||
| Alicia Nicole Kim | Registered representative | Apr 2024 (2y) | ||
| Jonathan Mark Scheriff | Registered representative | Apr 2024 (2y) | ||
| Kristi Smith Dargan | Registered representative | Apr 2024 (2y) | ||
| Paula Bonk | Registered representative | Apr 2024 (2y) | ||
| Jennae Leona Reid | Registered representative | Apr 2024 (2y) | ||
| Cassandra Heald | Registered representative | May 2024 (2y) | ||
| Tiffanie Lois Sojourner | Registered representative | May 2024 (2y) | ||
| Christina M Bottega | Registered representative | May 2024 (2y) | ||
| Daniel W Plummer | Registered representative | May 2024 (2y) | ||
| Drew Dinzik | Registered representative | May 2024 (2y) | ||
| Halli Ann Bradice Tschannen | Registered representative | May 2024 (2y) | ||
| John Nicholas Khalil | Registered representative | May 2024 (2y) | ||
| Daniel Dean Behr | Registered representative | May 2024 (2y) | ||
| James Allen Kent | Registered representative | May 2024 (2y) | ||
| Jonathan Richard Nelson | Registered representative | May 2024 (2y) | ||
| Lane Alexander Fanto | Registered representative | May 2024 (2y) | ||
| Molly Kate Stavang | Registered representative | May 2024 (2y) | ||
| Aaron Jordan Freedman | Registered representative | May 2024 (2y) | ||
| Daniel John Legan | Registered representative | May 2024 (2y) | ||
| Marguerite Kramer Kircher | Registered representative | May 2024 (2y) | ||
| Charles Nathaniel Williams Glaser | Registered representative | May 2024 (2y) | ||
| David J Barnes | Registered representative | May 2024 (2y) | ||
| Jeffrey Paul Jones | Registered representative | May 2024 (2y) | ||
| Louis Charles Glaser | Registered representative | May 2024 (2y) | ||
| Michael Zachary Williams Glaser | Registered representative | May 2024 (2y) | ||
| Paul James Sierocinski | Registered representative | May 2024 (2y) | ||
| Paula Faye Gay | Registered representative | May 2024 (2y) | ||
| Patrick A Pollard | Registered representative | CFP | May 2024 (2y) | |
| Thomas Wardell Moonshower | Registered representative | May 2024 (2y) | ||
| Jennifer Marvella Kristanto | Registered representative | May 2024 (2y) | ||
| Kevin Francis Brewer | Registered representative | May 2024 (2y) | ||
| Sean Keller | Registered representative | May 2024 (2y) | ||
| Tyler John Krug | Registered representative | May 2024 (2y) | ||
| Alexander Miller Whitney | Registered representative | May 2024 (2y) | ||
| Jill Marie Rolfsmeier | Registered representative | May 2024 (2y) | ||
| Lisa M Isenhower | Registered representative | May 2024 (2y) | ||
| Andrew Dowd | Registered representative | May 2024 (2y) | ||
| Sara Schreck | Registered representative | May 2024 (2y) | ||
| Dalia F. Bubbico | Registered representative | May 2024 (2y) | ||
| Jerry Azzollini | Registered representative | May 2024 (2y) | ||
| Michael Taggart | Registered representative | May 2024 (2y) | ||
| Theodore Robert Moorhead | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Miles Demetre Dismond | Registered representative | Jun 2024 (2y) | ||
| Anupa Ann Philip | Registered representative | Jun 2024 (2y) | ||
| Brian Gerard Delatola | Registered representative | CFP | Jun 2024 (2y) | |
| Danielle Marie Defeyter | Registered representative | Jun 2024 (2y) | ||
| Nathan James Anderson | Registered representative | Jun 2024 (2y) | ||
| Timothy John Pippet | Registered representative | Jun 2024 (2y) | ||
| Irma Y Correa | Registered representative | Jun 2024 (2y) | ||
| Jacob Wayne Tippit | Registered representative | Jun 2024 (2y) | ||
| Alexander Simon Brown | Registered representative | CFP | Jun 2024 (2y) | |
| Brian Jeron Knuttila | Registered representative | Jun 2024 (2y) | ||
| Michael M. De Monte | Registered representative | Jun 2024 (2y) | ||
| William Franklin Brinkley | Registered representative | Jun 2024 (2y) | ||
| William Taylor Brinkley | Registered representative | CFP | Jun 2024 (2y) | |
| Carly Kacvinsky | Registered representative | Jun 2024 (2y) | ||
| Matthew S Salvitti | Registered representative | Jun 2024 (2y) | ||
| Victoria Suzanne Roberts | Registered representative | Jun 2024 (2y) | ||
| Jonathan Lane Thomas | Registered representative | CFP | Jun 2024 (2y) | |
| Nicole Otta | Registered representative | Jun 2024 (2y) | ||
| Jessica Kaylee Harris | Registered representative | Jun 2024 (2y) | ||
| James Patrick Darby | Registered representative | CFP | Jun 2024 (2y) | |
| Steven Mark Beaupre | Registered representative | Jun 2024 (2y) | ||
| Gina Kay Blair | Registered representative | Jul 2024 (2y) | ||
| Kevin Francis Byrne | Registered representative | Jul 2024 (2y) | ||
| Lucas Timothy Itzen | Registered representative | Jul 2024 (2y) | ||
| Luke T Polak | Registered representative | Jul 2024 (2y) | ||
| Lindsay Margaret Tavano | Registered representative | Jul 2024 (2y) | ||
| Colin James Ahern | Registered representative | Jul 2024 (2y) | ||
| Hunter Jane Morita | Registered representative | Jul 2024 (2y) | ||
| Jacky Khanna | Registered representative | Jul 2024 (2y) | ||
| Laura Cristina Smith | Registered representative | Jul 2024 (2y) | ||
| Louis Paul Sitnik | Registered representative | Jul 2024 (2y) | ||
| Harrison Sparkman Ambrose | Registered representative | Jul 2024 (2y) | ||
| David Raymond Callot | Registered representative | Jul 2024 (2y) | ||
| Evan James Levitsky | Registered representative | Jul 2024 (2y) | ||
| Jon Schulz | Registered representative | Jul 2024 (2y) | ||
| Thomas Braun | Registered representative | Jul 2024 (2y) | ||
| Amalia Marie Rockafellow | Registered representative | Jul 2024 (2y) | ||
| Michelle Lynn Backholm | Registered representative | Jul 2024 (2y) | ||
| Paul Luverne Peterman | Registered representative | Jul 2024 (2y) | ||
| John F Green | Registered representative | Jul 2024 (2y) | ||
| Brian Edward Koch | Registered representative | CFP | Aug 2024 (2y) | |
| Jack David Feyereisn | Registered representative | Aug 2024 (2y) | ||
| Shannon Lee Scott | Registered representative | Aug 2024 (2y) | ||
| Jason Richard Wilke | Registered representative | CFP | Aug 2024 (2y) | |
| Julia R Watt | Registered representative | Aug 2024 (2y) | ||
| Marcel Jason Tenberge | Registered representative | Aug 2024 (2y) | ||
| Thomas William Evans | Registered representative | CFP | Aug 2024 (2y) | |
| Mark Paul Hilgendorf | Registered representative | CFA | Aug 2024 (2y) | |
| William Adote | Registered representative | Aug 2024 (2y) | ||
| Laurie Ann Mcnally | Registered representative | Aug 2024 (2y) | ||
| Robert Von Rueden | Registered representative | Aug 2024 (2y) | ||
| Brendan Ames | Registered representative | Aug 2024 (2y) | ||
| Blake James Bauer | Registered representative | Aug 2024 (2y) | ||
| Joshua Page Smith | Registered representative | CFP | Aug 2024 (2y) | |
| Brandon Michael Vornhagen | Registered representative | Aug 2024 (2y) | ||
| Joseph Arthur Goetzinger | Registered representative | Aug 2024 (2y) | ||
| Kyle Mitchell Mclaughlin | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Mary Lynn Bosway | Registered representative | Aug 2024 (2y) | ||
| Robert D Hill | Registered representative | Aug 2024 (2y) | ||
| Samuel D Mayne | Registered representative | Aug 2024 (2y) | ||
| Terrence P Regan | Registered representative | Aug 2024 (2y) | ||
| John David Terrion | Registered representative | Aug 2024 (2y) | ||
| Meagan E Belford | Registered representative | Aug 2024 (2y) | ||
| Bernard Suissa | Registered representative | Aug 2024 (2y) | ||
| Olivia L Lawler | Registered representative | Aug 2024 (2y) | ||
| Pari Michele Hashemi Magura | Registered representative | Aug 2024 (2y) | ||
| Robert Alick Salon | Registered representative | Aug 2024 (2y) | ||
| Catherine Ann Playford | Registered representative | Sep 2024 (2y) | ||
| Felipe Escobar Gomez | Registered representative | Sep 2024 (2y) | ||
| William H Klein | Registered representative | Sep 2024 (2y) | ||
| Parker David Thompson | Registered representative | Sep 2024 (2y) | ||
| John T Daddona | Registered representative | Sep 2024 (2y) | ||
| Anthony Joseph Wright | Registered representative | Sep 2024 (2y) | ||
| Octoberr Lynn Walter | Registered representative | Sep 2024 (2y) | ||
| Robert Griffin Smith | Registered representative | Sep 2024 (2y) | ||
| Justin Elliot Gore | Registered representative | Sep 2024 (2y) | ||
| James L Weinstock | Registered representative | Sep 2024 (2y) | ||
| Tessa Mayne Castor | Registered representative | Sep 2024 (2y) | ||
| Elizabeth Mary Keshishian | Registered representative | Sep 2024 (2y) | ||
| Isaac William Armitage | Registered representative | Sep 2024 (2y) | ||
| Jeanne Marie Stanley | Registered representative | Sep 2024 (2y) | ||
| Kyle P Rhine | Registered representative | Sep 2024 (2y) | ||
| Jeffrey William Wangard | Registered representative | Sep 2024 (2y) | ||
| Jean Theresa Wangard | Registered representative | Sep 2024 (2y) | ||
| Christine Anne Lizaso | Registered representative | Sep 2024 (2y) | ||
| James Casey Jones | Registered representative | CFP | Sep 2024 (2y) | |
| Jefferson David Pace | Registered representative | Sep 2024 (2y) | ||
| Scott Charles Serafin | Registered representative | Sep 2024 (2y) | ||
| William H Pahl | Registered representative | Sep 2024 (2y) | ||
| John Michael Ramsey | Registered representative | CFP | Sep 2024 (2y) | |
| Sandra Claire Dubow | Registered representative | Sep 2024 (2y) | ||
| Gloria Aranzazu Barajas | Registered representative | Sep 2024 (2y) | ||
| Shari Ann La Fleur | Registered representative | Sep 2024 (2y) | ||
| Shelley Larose Davidson | Registered representative | Sep 2024 (2y) | ||
| Robert Clayton Joyner | Registered representative | CFP | Sep 2024 (2y) | |
| Carla Loarte | Registered representative | Sep 2024 (2y) | ||
| Joseph H Mccullough | Registered representative | Sep 2024 (2y) | ||
| Lauren Perpall Riepenhoff | Registered representative | Sep 2024 (2y) | ||
| William Shand Pahl | Registered representative | CFP | Sep 2024 (2y) | |
| Kevin Michael Wall | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Maeve Murdoch | Registered representative | Sep 2024 (2y) | ||
| Michael Dunn | Registered representative | Sep 2024 (2y) | ||
| Russell R Smouse | Registered representative | Sep 2024 (2y) | ||
| Scott William Harlander | Registered representative | Oct 2024 (2y) | ||
| Cotter A Smart | Registered representative | Oct 2024 (2y) | ||
| Jennifer Lee Greene | Registered representative | Oct 2024 (2y) | ||
| Junia Pan Li | Registered representative | Oct 2024 (2y) | ||
| Mary Anne Chiu | Registered representative | Oct 2024 (2y) | ||
| Terence Gerard Tracy | Registered representative | Oct 2024 (2y) | ||
| Connie Lea Sherrill | Registered representative | Oct 2024 (2y) | ||
| Courtney M Whitley | Registered representative | Oct 2024 (2y) | ||
| Devin A Fevola | Registered representative | Oct 2024 (2y) | ||
| Anthony Jacob Hulsebus | Registered representative | Oct 2024 (2y) | ||
| Brian Christopher Demonte | Registered representative | Oct 2024 (2y) | ||
| Linda S Brown | Registered representative | Oct 2024 (2y) | ||
| Brendan Whiteman | Registered representative | Oct 2024 (2y) | ||
| Eric Patrick Drake | Registered representative | Oct 2024 (2y) | ||
| John Macaulay Burlager | Registered representative | Oct 2024 (2y) | ||
| Devon M Blouch | Registered representative | Oct 2024 (2y) | ||
| Erin Shonsey Murnan | Registered representative | Oct 2024 (2y) | ||
| Paul Thomas Ulanich | Registered representative | Oct 2024 (2y) | ||
| Thomas Gripenstraw | Registered representative | Oct 2024 (2y) | ||
| Heather Marie Knox | Registered representative | Oct 2024 (2y) | ||
| Adam Brady | Registered representative | Oct 2024 (2y) | ||
| Emily A Fennell | Registered representative | CFP | Oct 2024 (2y) | |
| Matthew Joshua Silver | Registered representative | Oct 2024 (2y) | ||
| Maurice Patrick Tessier | Registered representative | Oct 2024 (2y) | ||
| Michael Alan Silver | Registered representative | Oct 2024 (2y) | ||
| Stacey Lynn Colao Gardner | Registered representative | Oct 2024 (2y) | ||
| Neil R Parekh | Registered representative | Oct 2024 (2y) | ||
| Ali M Girardi | Registered representative | Oct 2024 (2y) | ||
| Benjamin Strom Johnson | Registered representative | Oct 2024 (2y) | ||
| Ethan Louis Gerald Etheridge | Registered representative | Oct 2024 (2y) | ||
| Genesis Sheryl Chacon Ojeda | Registered representative | Oct 2024 (2y) | ||
| Alan Dean Wolfe | Registered representative | Oct 2024 (2y) | ||
| Avi Greenlinger | Registered representative | Oct 2024 (2y) | ||
| Avigail Benderly Rosemore | Registered representative | Oct 2024 (2y) | ||
| Aaron L Forker | Registered representative | Oct 2024 (2y) | ||
| Edward Timothy Turk | Registered representative | CFP | Oct 2024 (2y) | |
| Ethan D Smart | Registered representative | Oct 2024 (2y) | ||
| Meir S Teichman | Registered representative | Oct 2024 (2y) | ||
| Dakota Jack Greene | Registered representative | Oct 2024 (2y) | ||
| Julie Anne Lewis | Registered representative | Oct 2024 (2y) | ||
| Jessica Lynn Fontaine | Registered representative | Nov 2024 (2y) | ||
| Daniel Prichard | Registered representative | Nov 2024 (2y) | ||
| Richard Joseph Smalley | Registered representative | Nov 2024 (2y) | ||
| Gary Allan Grossblatt | Registered representative | CFP | Nov 2024 (2y) | |
| Hannah Lee Grossblatt | Registered representative | CFP | Nov 2024 (2y) | |
| Madeline Faye Grossblatt | Registered representative | Nov 2024 (2y) | ||
| Anthony James Markett | Registered representative | Nov 2024 (2y) | ||
| Brigitte Marianna Lembo | Registered representative | Nov 2024 (2y) | ||
| Connor Knapp | Registered representative | Nov 2024 (2y) | ||
| Joseph Bristol Kettelle | Registered representative | Nov 2024 (2y) | ||
| Henry James Larson | Registered representative | Nov 2024 (2y) | ||
| Jonathan William Sesing | Registered representative | Nov 2024 (2y) | ||
| Charles Brausch | Registered representative | Nov 2024 (2y) | ||
| Joseph Romain | Registered representative | Nov 2024 (2y) | ||
| Thomas David Garretson | Registered representative | Nov 2024 (2y) | ||
| Samir Abhyankar | Registered representative | Dec 2024 (2y) | ||
| Sara Mc Donough | Registered representative | Dec 2024 (2y) | ||
| Peter Bain Gill | Registered representative | Dec 2024 (2y) | ||
| Alyssa Marie Bell | Registered representative | CFP | Dec 2024 (2y) | |
| Henry Mcnaughton Fyfe | Registered representative | Dec 2024 (2y) | ||
| William Shepard Waits | Registered representative | Dec 2024 (2y) | ||
| John De Quervain Piper | Registered representative | Dec 2024 (2y) | ||
| Patrick James Michael | Registered representative | CFA | Dec 2024 (2y) | |
| Cade Ryan Sands | Registered representative | Dec 2024 (2y) | ||
| Collin Thomas Palmeri | Registered representative | Dec 2024 (2y) | ||
| Rachel E Greenwald | Registered representative | Dec 2024 (2y) | ||
| Hannah Marie Ubanoski | Registered representative | Jan 2025 (2y) | ||
| Summer Marie Harris | Registered representative | Jan 2025 (2y) | ||
| Grace Kathleen Bumpus | Registered representative | CFP | Jan 2025 (2y) | |
| Daren Roberts | Registered representative | Jan 2025 (2y) | ||
| Benjamin C Perkins | Registered representative | Jan 2025 (2y) | ||
| Charles Gabriel Mouaikel | Registered representative | Jan 2025 (2y) | ||
| Erick Antonio Zuniga | Registered representative | Jan 2025 (2y) | ||
| Walter O Taylor | Registered representative | Jan 2025 (2y) | ||
| Nathan Reed Gounaris | Registered representative | Jan 2025 (2y) | ||
| Rachelle Klise Haysman Carmel | Registered representative | CFP | Jan 2025 (2y) | |
| Stephanie Kei Chak | Registered representative | Jan 2025 (2y) | ||
| Arturo A Pensato | Registered representative | Jan 2025 (2y) | ||
| Carrie M Port | Registered representative | Jan 2025 (2y) | ||
| Connor Secora | Registered representative | Jan 2025 (2y) | ||
| Lindsay Taylor Hansman | Registered representative | CFP | Jan 2025 (2y) | |
| William A Slayne | Registered representative | Jan 2025 (2y) | ||
| Shepard Martin Fargotstein | Registered representative | Jan 2025 (2y) | ||
| Maria Ann Kokoszka | Registered representative | Jan 2025 (2y) | ||
| Rhett Dunn Sperling | Registered representative | Jan 2025 (2y) | ||
| Dominic Occhiuzzo | Registered representative | Jan 2025 (2y) | ||
| David Matthew Kirksey | Registered representative | Jan 2025 (2y) | ||
| Rachel Camilla Thurman | Registered representative | Jan 2025 (2y) | ||
| Mark Morgan Preston | Registered representative | CFP | Feb 2025 (1y) | |
| Derrick Sartor | Registered representative | Feb 2025 (1y) | ||
| Terrence William Webb | Registered representative | Feb 2025 (1y) | ||
| Jack Robert Fisher | Registered representative | Feb 2025 (1y) | ||
| David Samuel Tucker | Registered representative | Feb 2025 (1y) | ||
| Kevin Lazarus | Registered representative | Feb 2025 (1y) | ||
| Reyna Lynn Parcells | Registered representative | Feb 2025 (1y) | ||
| Keira Brooke Levy | Registered representative | Feb 2025 (1y) | ||
| Monica Lee Choi | Registered representative | Feb 2025 (1y) | ||
| Jeffrey James Kustes | Registered representative | Feb 2025 (1y) | ||
| Andrea Michelle Radke | Registered representative | Feb 2025 (1y) | ||
| Christopher Oliver Belcher | Registered representative | Feb 2025 (1y) | ||
| Jon Halvor Richards | Registered representative | Feb 2025 (1y) | ||
| Matthew Shivinsky | Registered representative | Feb 2025 (1y) | ||
| Reid Jackson | Registered representative | Feb 2025 (1y) | ||
| Braeden Matthew Marburger | Registered representative | Feb 2025 (1y) | ||
| Amanda Ver Don Swinn | Registered representative | Mar 2025 (1y) | ||
| Elijah Christopher Piwowarczyk | Registered representative | Mar 2025 (1y) | ||
| Damien Ramondo | Registered representative | Mar 2025 (1y) | ||
| Michael Robert Ford | Registered representative | Mar 2025 (1y) | ||
| Timothy R Ford | Registered representative | CFP | Mar 2025 (1y) | |
| George William Morrison | Registered representative | Mar 2025 (1y) | ||
| Kathleen C Rogers | Registered representative | Mar 2025 (1y) | ||
| Daniel Alkhoury | Registered representative | Mar 2025 (1y) | ||
| Tyler Shilson | Registered representative | Mar 2025 (1y) | ||
| Samuel Oakey | Registered representative | Mar 2025 (1y) | ||
| Sarah Fisher | Registered representative | Mar 2025 (1y) | ||
| Abby Kristine Monger | Registered representative | Mar 2025 (1y) | ||
| Jordan Walter Grangard | Registered representative | Mar 2025 (1y) | ||
| Kobi James Owen | Registered representative | Mar 2025 (1y) | ||
| Derek Smith | Registered representative | Mar 2025 (1y) | ||
| Jelena Draganic | Registered representative | Mar 2025 (1y) | ||
| Daniel Ethington | Registered representative | Mar 2025 (1y) | ||
| Anna Lee Walth | Registered representative | Mar 2025 (1y) | ||
| Jennifer Mieko Chinn Nakagaki | Registered representative | Mar 2025 (1y) | ||
| Joseph Dennis Burt | Registered representative | Mar 2025 (1y) | ||
| Jace T Hale | Registered representative | Mar 2025 (1y) | ||
| Michael Earl Mc Daniel | Registered representative | Mar 2025 (1y) | ||
| Courtney Julia Conlin | Registered representative | Apr 2025 (1y) | ||
| Janet Mary Leahy | Registered representative | Apr 2025 (1y) | ||
| Joshua Aaron Frieze | Registered representative | Apr 2025 (1y) | ||
| Trent Scot Lorenz | Registered representative | Apr 2025 (1y) | ||
| Vincent R Berndt | Registered representative | Apr 2025 (1y) | ||
| Mary Madison Mc Intyre | Registered representative | Apr 2025 (1y) | ||
| Jeremy Marshall Dimond | Registered representative | Apr 2025 (1y) | ||
| Catherine Shelehov | Registered representative | Apr 2025 (1y) | ||
| Connor Barnes | Registered representative | Apr 2025 (1y) | ||
| Harry G Sturgis | Registered representative | Apr 2025 (1y) | ||
| Lexie Ann Ligday | Registered representative | Apr 2025 (1y) | ||
| James Thomas Kirk | Registered representative | CFP | Apr 2025 (1y) | |
| Antonio Salcfas | Registered representative | CFP | Apr 2025 (1y) | |
| Glenn S Degenaars | Registered representative | CFA | Apr 2025 (1y) | |
| Griffin Wellington | Registered representative | Apr 2025 (1y) | ||
| Jason Khalil Khawaja | Registered representative | Apr 2025 (1y) | ||
| Jason L Babb | Registered representative | CFA | Apr 2025 (1y) | |
| Jennifer S Large | Registered representative | Apr 2025 (1y) | ||
| John Rehill | Registered representative | Apr 2025 (1y) | ||
| Kristin J Ashman | Registered representative | Apr 2025 (1y) | ||
| Megan Ennis | Registered representative | Apr 2025 (1y) | ||
| Nancy Geisler Mcdonald | Registered representative | Apr 2025 (1y) | ||
| Nicholas William Parker | Registered representative | Apr 2025 (1y) | ||
| Thomas Ryan Carney | Registered representative | Apr 2025 (1y) | ||
| Tel David Tipton | Registered representative | CFP | Apr 2025 (1y) | |
| Elizabeth Botti | Registered representative | Apr 2025 (1y) | ||
| Emily Ueno | Registered representative | Apr 2025 (1y) | ||
| Ryan James Thimjon | Registered representative | Apr 2025 (1y) | ||
| Gavin Robert Burns | Registered representative | Apr 2025 (1y) | ||
| James Paul Marquardt | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Emil Ray Smith | Registered representative | Apr 2025 (1y) | ||
| Sean Kelly | Registered representative | Apr 2025 (1y) | ||
| Coty Maree Schade | Registered representative | Apr 2025 (1y) | ||
| Hannah Laura Johnson | Registered representative | Apr 2025 (1y) | ||
| Jason Edward Hughes | Registered representative | CFP | Apr 2025 (1y) | |
| Jackson Edward Geisler | Registered representative | Apr 2025 (1y) | ||
| Nicole Winterz | Registered representative | Apr 2025 (1y) | ||
| Jason M Beumer | Registered representative | CFP | May 2025 (1y) | |
| Lindsay Ann Sorenson | Registered representative | May 2025 (1y) | ||
| John Rex Thompson | Registered representative | May 2025 (1y) | ||
| Linh L Hoang | Registered representative | May 2025 (1y) | ||
| Matthew Paragamian | Registered representative | May 2025 (1y) | ||
| Ian Charles Sundland | Registered representative | May 2025 (1y) | ||
| Jon Mohammed Saleem | Registered representative | May 2025 (1y) | ||
| Michael Griffeth Austin | Registered representative | May 2025 (1y) | ||
| Devin Marquis White | Registered representative | CFP | May 2025 (1y) | |
| Jacob Theodore Binder | Registered representative | May 2025 (1y) | ||
| Theodore Frank Binder | Registered representative | May 2025 (1y) | ||
| John David Hillard | Registered representative | May 2025 (1y) | ||
| Zenon Thomas Kuzyk | Registered representative | May 2025 (1y) | ||
| Ryan Jeffrey Smith | Registered representative | May 2025 (1y) | ||
| Thomas George Austin | Registered representative | May 2025 (1y) | ||
| Jay Christopher Murphy | Registered representative | May 2025 (1y) | ||
| Kylie Theriot Talley | Registered representative | May 2025 (1y) | ||
| Brett Bell | Registered representative | May 2025 (1y) | ||
| Mikayla Cipullo | Registered representative | May 2025 (1y) | ||
| Darcy Frederickson | Registered representative | May 2025 (1y) | ||
| Robert J Miller | Registered representative | May 2025 (1y) | ||
| Benjamin Gerald Dalton | Registered representative | May 2025 (1y) | ||
| Christine M Hardy | Registered representative | May 2025 (1y) | ||
| Michael S Treinen | Registered representative | CFP | May 2025 (1y) | |
| Sandra Rae Dalton | Registered representative | May 2025 (1y) | ||
| Scott Douglas Murray | Registered representative | May 2025 (1y) | ||
| William Rex Bahney | Registered representative | May 2025 (1y) | ||
| Breanna Lynda Brandon | Registered representative | May 2025 (1y) | ||
| Mark Jeffrey Grueninger | Registered representative | May 2025 (1y) | ||
| Ryan David Whitney | Registered representative | May 2025 (1y) | ||
| Benjamin Charles Sauer | Registered representative | May 2025 (1y) | ||
| Jeffrey Douglas Potter | Registered representative | CFP | May 2025 (1y) | |
| Luke Matthew Andrews | Registered representative | May 2025 (1y) | ||
| Stevie M Buckley | Registered representative | May 2025 (1y) | ||
| Elizabeth Arletha Moynihan | Registered representative | Jun 2025 (1y) | ||
| Marvin L Lancaster Stancil | Registered representative | CFP | Jun 2025 (1y) | |
| Alexander Edison Malm | Registered representative | Jun 2025 (1y) | ||
| Corley Catherine Holland | Registered representative | Jun 2025 (1y) | ||
| James Vincent Carideo | Registered representative | Jun 2025 (1y) | ||
| Juliana Adele Hadawi | Registered representative | Jun 2025 (1y) | ||
| George Ly | Registered representative | Jun 2025 (1y) | ||
| Jenna Leigh Sparling | Registered representative | Jun 2025 (1y) | ||
| Jack P Prudente | Registered representative | Jun 2025 (1y) | ||
| Lauren N Clark | Registered representative | Jun 2025 (1y) | ||
| Lauren Elizabeth Maxwell | Registered representative | Jun 2025 (1y) | ||
| Zackery Thomas Peterson | Registered representative | Jun 2025 (1y) | ||
| Daniel J Benkoski | Registered representative | Jun 2025 (1y) | ||
| Matthew James Hearring | Registered representative | Jun 2025 (1y) | ||
| Matthew Richard Day | Registered representative | Jun 2025 (1y) | ||
| Tyler Hoeksema | Registered representative | Jun 2025 (1y) | ||
| Daniel Christopher Kefer | Registered representative | Jun 2025 (1y) | ||
| Kathy Ann Russo | Registered representative | Jun 2025 (1y) | ||
| Tricia Monique Mc Intosh | Registered representative | Jun 2025 (1y) | ||
| Charles Leo Powers | Registered representative | Jun 2025 (1y) | ||
| Bradley Scott Dickens | Registered representative | Jun 2025 (1y) | ||
| Benjamin Peter Okwit Kanas | Registered representative | Jun 2025 (1y) | ||
| Deirdre Joyce | Registered representative | Jun 2025 (1y) | ||
| George Paul Kanas | Registered representative | CFP | Jun 2025 (1y) | |
| Glenn Randall Bianco | Registered representative | CFP | Jun 2025 (1y) | |
| Henriette Isabella O'connor | Registered representative | Jun 2025 (1y) | ||
| James Ervin Stephens | Registered representative | Jun 2025 (1y) | ||
| James Morris Smith | Registered representative | Jun 2025 (1y) | ||
| Jason Richard Minor | Registered representative | Jun 2025 (1y) | ||
| Kendall Rivera | Registered representative | Jun 2025 (1y) | ||
| Marc Nicolas Colamaria | Registered representative | Jun 2025 (1y) | ||
| Marisa Ingraham | Registered representative | CFP | Jun 2025 (1y) | |
| Michael Gerard Daly | Registered representative | Jun 2025 (1y) | ||
| Sheala H Smith | Registered representative | Jun 2025 (1y) | ||
| Veronica Casanova | Registered representative | Jun 2025 (1y) | ||
| Cole Cammack | Registered representative | Jun 2025 (1y) | ||
| Eric Ryan Schneider | Registered representative | Jun 2025 (1y) | ||
| Leanne Arlene Chavez | Registered representative | Jun 2025 (1y) | ||
| Tiffany Mondori Ledesma | Registered representative | Jun 2025 (1y) | ||
| Conor A Mullan | Registered representative | Jul 2025 (1y) | ||
| Madison Mortimer | Registered representative | Jul 2025 (1y) | ||
| Molly Frances Maher | Registered representative | Jul 2025 (1y) | ||
| Laurie Ruth Donovan | Registered representative | Jul 2025 (1y) | ||
| Drew Joseph Abramson | Registered representative | CFP | Jul 2025 (1y) | |
| Kevin Alfredo Gardea Quinonez | Registered representative | Jul 2025 (1y) | ||
| Katie Anne Fiato | Registered representative | Jul 2025 (1y) | ||
| Simeon Luke Whittle | Registered representative | Jul 2025 (1y) | ||
| Elena Tashlitsky | Registered representative | Jul 2025 (1y) | ||
| Izabella Wszolek | Registered representative | Jul 2025 (1y) | ||
| Kevin Bertoncin | Registered representative | Jul 2025 (1y) | ||
| Lauren Bellini | Registered representative | Jul 2025 (1y) | ||
| Lucas Matthew Felbel | Registered representative | CFP | Jul 2025 (1y) | |
| Margaret M Athanasatos | Registered representative | Jul 2025 (1y) | ||
| Roger Philip Matles | Registered representative | Jul 2025 (1y) | ||
| Steven Greg Solomon | Registered representative | Jul 2025 (1y) | ||
| Enrico Dominic Castelda | Registered representative | Jul 2025 (1y) | ||
| Andrea Mae Lechner | Registered representative | Jul 2025 (1y) | ||
| Corbin David Knollman | Registered representative | Jul 2025 (1y) | ||
| Sean Matthew Mulchrone | Registered representative | Jul 2025 (1y) | ||
| Tabatha Abraham | Registered representative | Jul 2025 (1y) | ||
| Alisoune Lee | Registered representative | Jul 2025 (1y) | ||
| Timothy Faig | Registered representative | Jul 2025 (1y) | ||
| Barbra Jean Delvecchio | Registered representative | Jul 2025 (1y) | ||
| Carolyn Toenges | Registered representative | Jul 2025 (1y) | ||
| Abby Nicole Delmas | Registered representative | Jul 2025 (1y) | ||
| Sharon Vax | Registered representative | Jul 2025 (1y) | ||
| Zachary David Wick | Registered representative | Jul 2025 (1y) | ||
| Craig David Wakefield | Registered representative | Jul 2025 (1y) | ||
| Daniel John Carollo | Registered representative | Jul 2025 (1y) | ||
| Michael King De Golian | Registered representative | Jul 2025 (1y) | ||
| Garrett Clegg | Registered representative | Jul 2025 (1y) | ||
| Christopher J Dennis | Registered representative | Jul 2025 (1y) | ||
| Michele Vincenzo Cestone | Registered representative | Jul 2025 (1y) | ||
| Daniel Joseph Morris | Registered representative | Jul 2025 (1y) | ||
| Owen Lawrence Brinker | Registered representative | Jul 2025 (1y) | ||
| Victor Wong | Registered representative | Jul 2025 (1y) | ||
| Brendan Krebs | Registered representative | Aug 2025 (1y) | ||
| Kyle Turney Holcomb | Registered representative | Aug 2025 (1y) | ||
| Lydia Meiying Guo | Registered representative | Aug 2025 (1y) | ||
| Connor L Hawkinson | Registered representative | Aug 2025 (1y) | ||
| Colette Kathleen Powers | Registered representative | Aug 2025 (1y) | ||
| Ralph H Short Jr. | Registered representative | Aug 2025 (1y) | ||
| Edward Brian Murphy | Registered representative | CFP | Aug 2025 (1y) | |
| Aidan Duignan Papineau | Registered representative | Aug 2025 (1y) | ||
| Christine Ann Jaeger | Registered representative | Aug 2025 (1y) | ||
| Kara Patrice Topping | Registered representative | Aug 2025 (1y) | ||
| Nikolas Rhett Neuman | Registered representative | Aug 2025 (1y) | ||
| Heidi Elizabeth Schilling | Registered representative | Aug 2025 (1y) | ||
| Diego Humberto Ovalle Pina | Registered representative | Aug 2025 (1y) | ||
| Osiris St. Brown | Registered representative | Aug 2025 (1y) | ||
| Conrado Antonio Asencio Asencio | Registered representative | Aug 2025 (1y) | ||
| Nick J Baker | Registered representative | Aug 2025 (1y) | ||
| Ryan Thomas Lynch | Registered representative | Aug 2025 (1y) | ||
| Stephen Michael Goldstein | Registered representative | CFP | Aug 2025 (1y) | |
| Gretchen Marie Gawler | Registered representative | Aug 2025 (1y) | ||
| Katelyn Karcz Smith | Registered representative | Aug 2025 (1y) | ||
| Cooper Janssen | Registered representative | Aug 2025 (1y) | ||
| Jack Thomas Harrison Agnew | Registered representative | Aug 2025 (1y) | ||
| Carol Lynn Mani Johnston | Registered representative | Aug 2025 (1y) | ||
| Kathleen Elaine Huggins | Registered representative | Aug 2025 (1y) | ||
| Cary Robert Wood | Registered representative | Sep 2025 (1y) | ||
| Rachel Leigh Cooper | Registered representative | Sep 2025 (1y) | ||
| Jacob Woody | Registered representative | Sep 2025 (1y) | ||
| Michael Donald Laude | Registered representative | Sep 2025 (1y) | ||
| Jack W Parker | Registered representative | Sep 2025 (1y) | ||
| Joseph Paul Johnston | Registered representative | Sep 2025 (1y) | ||
| Julie Louise Niznansky | Registered representative | Sep 2025 (1y) | ||
| Tracy Mc Crory | Registered representative | Sep 2025 (1y) | ||
| Justin Leonard Saponara | Registered representative | Sep 2025 (1y) | ||
| Melissa K Burek | Registered representative | Sep 2025 (1y) | ||
| Michelle M Spindler | Registered representative | Sep 2025 (1y) | ||
| Stephen Blanchard | Registered representative | Sep 2025 (1y) | ||
| Kevin Flaherty | Registered representative | Sep 2025 (1y) | ||
| William Maxwell Fryer | Registered representative | Sep 2025 (1y) | ||
| Matthew J Shore | Registered representative | Sep 2025 (1y) | ||
| Allyson Michelle Adkins | Registered representative | Sep 2025 (1y) | ||
| Jennifer Rebecca Pacific | Registered representative | Sep 2025 (1y) | ||
| Robert Andrews | Registered representative | Sep 2025 (1y) | ||
| Matthew Warren | Registered representative | Sep 2025 (1y) | ||
| Sherry Farley Mitterer | Registered representative | Sep 2025 (1y) | ||
| Colleen Anne Mcgraw | Registered representative | Sep 2025 (1y) | ||
| Daniel Aaron Price | Registered representative | CFP | Sep 2025 (1y) | |
| John Daily Runge | Registered representative | Sep 2025 (1y) | ||
| Clarence Buford Taylor | Registered representative | Sep 2025 (1y) | ||
| Charles Lufburrow Brown | Registered representative | Sep 2025 (1y) | ||
| Kevin Richard Carey | Registered representative | Sep 2025 (1y) | ||
| Margarita Vlassova | Registered representative | Sep 2025 (1y) | ||
| Matthew Thibodeaux | Registered representative | Sep 2025 (1y) | ||
| Nigel Gillespie | Registered representative | Sep 2025 (1y) | ||
| Signe J Broecker | Registered representative | Sep 2025 (1y) | ||
| Brooke Kristine Anderson | Registered representative | CFP | Sep 2025 (1y) | |
| Katie Lynn Hughes | Registered representative | Sep 2025 (1y) | ||
| Lane Patrick Mallula | Registered representative | Sep 2025 (1y) | ||
| Adam Michael Jones | Registered representative | Sep 2025 (1y) | ||
| Daniel Joseph Welsh | Registered representative | Sep 2025 (1y) | ||
| Jeremy Alan Newton | Registered representative | CFP | Sep 2025 (1y) | |
| Michael T Tran | Registered representative | Sep 2025 (1y) | ||
| Tamela Latrease Robinson | Registered representative | Sep 2025 (1y) | ||
| Tricia Ann Fitzsimons | Registered representative | Sep 2025 (1y) | ||
| Jonathan Mario Modiano | Registered representative | Sep 2025 (1y) | ||
| Kristen Charlton | Registered representative | Sep 2025 (1y) | ||
| Mark A Steinberg | Registered representative | CFP | Sep 2025 (1y) | |
| Samantha Burany | Registered representative | Sep 2025 (1y) | ||
| Erica Michelle Scott | Registered representative | Sep 2025 (1y) | ||
| Michael Thomas Langlois | Registered representative | Sep 2025 (1y) | ||
| Bryan Carlos Garcia | Registered representative | Oct 2025 (1y) | ||
| James T. Christy | Registered representative | Oct 2025 (1y) | ||
| Zachary Armstrong Freeman | Registered representative | Oct 2025 (1y) | ||
| Christopher M Pifer | Registered representative | Oct 2025 (1y) | ||
| Jennefer A Bartholomew | Registered representative | Oct 2025 (1y) | ||
| Jennifer Bottomley | Registered representative | Oct 2025 (1y) | ||
| Preston Muha | Registered representative | Oct 2025 (1y) | ||
| Michael Vincent Billiris | Registered representative | Oct 2025 (1y) | ||
| Rayne Browning | Registered representative | Oct 2025 (1y) | ||
| Dominic Anthony Polimeni | Registered representative | Oct 2025 (1y) | ||
| Anthony Howard Thole | Registered representative | CFP | Oct 2025 (1y) | |
| Jack Fierro | Registered representative | Oct 2025 (1y) | ||
| Nicholas John Slavik | Registered representative | CFP | Oct 2025 (1y) | |
| Derek J Boldrin | Registered representative | Oct 2025 (1y) | ||
| Hayden Bryant Hall | Registered representative | Oct 2025 (1y) | ||
| Peter Edward Eckerline | Registered representative | Oct 2025 (1y) | ||
| Leila Ann Castaneda | Registered representative | Oct 2025 (1y) | ||
| Allen H Wilson | Registered representative | Oct 2025 (1y) | ||
| Brandon Michael Trefcer | Registered representative | Oct 2025 (1y) | ||
| Connor Allen Jacoby | Registered representative | Oct 2025 (1y) | ||
| Deborah Ann Gottlick | Registered representative | Oct 2025 (1y) | ||
| Ian Joseph Stock | Registered representative | Oct 2025 (1y) | ||
| John Al Aras | Registered representative | Oct 2025 (1y) | ||
| Mark Serby | Registered representative | Oct 2025 (1y) | ||
| Nicole Chan | Registered representative | Oct 2025 (1y) | ||
| Andrew Brian Noto | Registered representative | Oct 2025 (1y) | ||
| Diana Dalton Stieffel | Registered representative | CFP | Oct 2025 (1y) | |
| David P Lambert | Registered representative | Oct 2025 (1y) | ||
| Henry James Faragalli | Registered representative | Oct 2025 (1y) | ||
| Mark Hirshler Heller | Registered representative | CFP | Oct 2025 (1y) | |
| Nicolas Vagram Koparanyan | Registered representative | Oct 2025 (1y) | ||
| Matthew David Oven | Registered representative | Nov 2025 (1y) | ||
| Cole Taylor Finley | Registered representative | Nov 2025 (1y) | ||
| James W Lowe | Registered representative | CFP | Nov 2025 (1y) | |
| Lacie Laurraine Lynn Matthews | Registered representative | Nov 2025 (1y) | ||
| Nathan James Abrahamson | Registered representative | CFA | Nov 2025 (1y) | |
| Cade Mathew Campbell | Registered representative | Nov 2025 (1y) | ||
| Natesha Ophelia Gonnigan | Registered representative | Nov 2025 (1y) | ||
| Cynthia Ann Ranzau | Registered representative | Nov 2025 (1y) | ||
| Susan Lynne Rios | Registered representative | Nov 2025 (1y) | ||
| Daniela Lukomski | Registered representative | Nov 2025 (1y) | ||
| Camden Charles Krautsack | Registered representative | Nov 2025 (1y) | ||
| Dylan J Droegemueller | Registered representative | Nov 2025 (1y) | ||
| Patrick Michael Mcgrath | Registered representative | Nov 2025 (1y) | ||
| Shannon Nordick | Registered representative | Nov 2025 (1y) | ||
| Savannah Rose Cece | Registered representative | Nov 2025 (1y) | ||
| Dana Lynn Falco | Registered representative | Nov 2025 (1y) | ||
| Maxwell Case Rogers | Registered representative | Nov 2025 (1y) | ||
| Michael Gauss | Registered representative | Nov 2025 (1y) | ||
| Pamela Ann Gomez | Registered representative | Nov 2025 (1y) | ||
| Parker Sanderson | Registered representative | Nov 2025 (1y) | ||
| Rebecca Nathe | Registered representative | Nov 2025 (1y) | ||
| Timothy John Helfer | Registered representative | Nov 2025 (1y) | ||
| Sherry Natalie Krebsbach | Registered representative | Nov 2025 (1y) | ||
| Stacy Linnea Poli | Registered representative | Nov 2025 (1y) | ||
| Stanislav F Poltavets | Registered representative | CFA | Nov 2025 (1y) | |
| Alec Fetterer | Registered representative | Nov 2025 (1y) | ||
| Judson Collins Redmond | Registered representative | CFP Personal Financial Specialist CFA | Nov 2025 (1y) | |
| Emily Hoffman | Registered representative | Nov 2025 (1y) | ||
| Patrick Boland Gleeton | Registered representative | Nov 2025 (1y) | ||
| Dean Carlo Sorantino | Registered representative | Nov 2025 (1y) | ||
| Andrew Richard Jarosz | Registered representative | Dec 2025 (1y) | ||
| Shane Michael Monaco | Registered representative | Dec 2025 (1y) | ||
| Alexander Paul Reber | Registered representative | Dec 2025 (1y) | ||
| Anthony Georgeadis | Registered representative | Dec 2025 (1y) | ||
| Joseph Rossano | Registered representative | Dec 2025 (1y) | ||
| Caleb Andrew Yeargain | Registered representative | Dec 2025 (1y) | ||
| James Byron Richardson | Registered representative | Dec 2025 (1y) | ||
| Michael J Mason | Registered representative | Dec 2025 (1y) | ||
| Matthew David Goldenberg | Registered representative | Dec 2025 (1y) | ||
| Jennifer Jean Hansard | Registered representative | Dec 2025 (1y) | ||
| David Semaya | Registered representative | Dec 2025 (1y) | ||
| Michael Howard Simon | Registered representative | CFP | Dec 2025 (1y) | |
| Rachel Renee Hamil | Registered representative | Dec 2025 (1y) | ||
| Michael John Dwyer | Registered representative | Dec 2025 (1y) | ||
| Jennifer Jane Seidler | Registered representative | Dec 2025 (1y) | ||
| Riley James Modesitt | Registered representative | Dec 2025 (1y) | ||
| Benjamin Adey | Registered representative | Dec 2025 (1y) | ||
| Christopher Clawson | Registered representative | Dec 2025 (1y) | ||
| Connor Flanary O Brien | Registered representative | Dec 2025 (1y) | ||
| Paul Melendez | Registered representative | Dec 2025 (1y) | ||
| Richard D'amico | Registered representative | Dec 2025 (1y) | ||
| Darci Vick | Registered representative | Dec 2025 (1y) | ||
| Thomas K Caskey | Registered representative | Dec 2025 (1y) | ||
| Charles Edward Congdon | Registered representative | Dec 2025 (1y) | ||
| Kevin Egan | Registered representative | Dec 2025 (1y) | ||
| Jennifer Beth Edwards | Registered representative | Dec 2025 (1y) | ||
| River Nicklaus | Registered representative | Dec 2025 (1y) | ||
| Beau Kelly Volley | Registered representative | Dec 2025 (1y) | ||
| Hudson Scott Cain | Registered representative | Dec 2025 (1y) | ||
| William Chandler Foster | Registered representative | Dec 2025 (1y) | ||
| Stephanie W. Neri | Registered representative | CFP | Dec 2025 (1y) | |
| Cameron James Coburn | Registered representative | Jan 2026 (1y) | ||
| Sergey Mazalin Johnson | Registered representative | Jan 2026 (1y) | ||
| Benjamin Michael Davis | Registered representative | Jan 2026 (1y) | ||
| Michele Murphy Cianfrone | Registered representative | Jan 2026 (1y) | ||
| Taylor Jordan Boyle | Registered representative | CFP | Jan 2026 (1y) | |
| Victoria Webster | Registered representative | Jan 2026 (1y) | ||
| William James Juncker | Registered representative | Jan 2026 (1y) | ||
| Edward A Thomasco | Registered representative | Jan 2026 (1y) | ||
| Timothy Waas | Registered representative | Jan 2026 (1y) | ||
| Tyler Paul Sutherland | Registered representative | Jan 2026 (1y) | ||
| Margaret Rushing | Registered representative | Jan 2026 (1y) | ||
| Christopher Robert Garner | Registered representative | Jan 2026 (1y) | ||
| Eric Hernandez | Registered representative | Jan 2026 (1y) | ||
| John Oscar Fogarty | Registered representative | CFP | Jan 2026 (1y) | |
| Jennifer Michelle Fernjack | Registered representative | Jan 2026 (1y) | ||
| Lindsey Vickers | Registered representative | Jan 2026 (1y) | ||
| Marcus A Fair | Registered representative | Jan 2026 (1y) | ||
| Stephen Hallett Ellsworth | Registered representative | Jan 2026 (1y) | ||
| Cathleen Ann Pike | Registered representative | Jan 2026 (1y) | ||
| Charlotte Grace Stevenson | Registered representative | Jan 2026 (1y) | ||
| Curtis Rafter | Registered representative | CFP | Jan 2026 (1y) | |
| Karis Schneider | Registered representative | Jan 2026 (1y) | ||
| Micah Bloom | Registered representative | Jan 2026 (1y) | ||
| Samantha Sue Pitts | Registered representative | Jan 2026 (1y) | ||
| Joseph D Neary | Registered representative | Jan 2026 (1y) | ||
| Jay Gentry | Registered representative | Jan 2026 (1y) | ||
| Michael Elliot Fowler | Registered representative | Jan 2026 (1y) | ||
| Connor Christian Welvaert | Registered representative | Jan 2026 (1y) | ||
| Ryan S. Pearson | Registered representative | Jan 2026 (1y) | ||
| Herbert Rottenberg | Registered representative | Jan 2026 (1y) | ||
| Matthew Harris Rottenberg | Registered representative | Jan 2026 (1y) | ||
| Michael Stuart Wirtheim | Registered representative | Jan 2026 (1y) | ||
| Nancy Ann Collins | Registered representative | Jan 2026 (1y) | ||
| Ronald David Scott | Registered representative | Jan 2026 (1y) | ||
| Ronald James Molinari | Registered representative | Jan 2026 (1y) | ||
| Trent James Mc Goldrick | Registered representative | Jan 2026 (1y) | ||
| Brennan Dante Giovanni Maggio | Registered representative | Jan 2026 (1y) | ||
| Eric Petranchuk | Registered representative | Jan 2026 (1y) | ||
| Bahraam Foroughi | Registered representative | Jan 2026 (1y) | ||
| Michael Dennis Lerian | Registered representative | Jan 2026 (1y) | ||
| Russ Ames | Registered representative | Jan 2026 (1y) | ||
| Misty Nicole Escobedo | Registered representative | Jan 2026 (1y) | ||
| Richard Radtke | Registered representative | Jan 2026 (1y) | ||
| Anila Buja | Registered representative | Jan 2026 (1y) | ||
| Garrett Howard Trochman | Registered representative | Jan 2026 (1y) | ||
| Jacqueline Lundsted Lyons | Registered representative | Jan 2026 (1y) | ||
| Todd Joseph Hendrickson | Registered representative | Jan 2026 (1y) | ||
| Gavin Virtue | Registered representative | Jan 2026 (1y) | ||
| James R. Wilson | Registered representative | Jan 2026 (1y) | ||
| Kristin Michelle Wint | Registered representative | Jan 2026 (1y) | ||
| Ryan Nicholas Kopec | Registered representative | Jan 2026 (1y) | ||
| Ethan James Santikul | Registered representative | Feb 2026 (0y) | ||
| Elisabeth Christina Anne Herold Rogers | Registered representative | Feb 2026 (0y) | ||
| Eli Kreger | Registered representative | Feb 2026 (0y) | ||
| Jason Dennis Delgado | Registered representative | Feb 2026 (0y) | ||
| Liam Ross Allford | Registered representative | Feb 2026 (0y) | ||
| Nathaniel Hansen | Registered representative | Feb 2026 (0y) | ||
| Hunter Hockaday Bentley | Registered representative | Feb 2026 (0y) | ||
| Jennifer Woods Odonnell | Registered representative | Feb 2026 (0y) | ||
| Devin Grayson | Registered representative | Feb 2026 (0y) | ||
| Jack Morris Powers | Registered representative | Feb 2026 (0y) | ||
| Alec Christian Balzer | Registered representative | Feb 2026 (0y) | ||
| Isaac Jack Jodel | Registered representative | Feb 2026 (0y) | ||
| John Winfred Clark | Registered representative | Feb 2026 (0y) | ||
| Madelyn Sursi | Registered representative | Feb 2026 (0y) | ||
| Payton Matsui | Registered representative | Feb 2026 (0y) | ||
| Nicholas Dean Schoeberl | Registered representative | Feb 2026 (0y) | ||
| Justin Louis Novak | Registered representative | Feb 2026 (0y) | ||
| Michael A Gambino | Registered representative | Feb 2026 (0y) | ||
| Caroline Smith | Registered representative | Feb 2026 (0y) | ||
| Matthew Russell Smith | Registered representative | Feb 2026 (0y) | ||
| Anna Margaret Lomnicki | Registered representative | Feb 2026 (0y) | ||
| Cade Frederick Nelson | Registered representative | Feb 2026 (0y) | ||
| Chase Cates | Registered representative | Feb 2026 (0y) | ||
| Emily Thurlow | Registered representative | Feb 2026 (0y) | ||
| Kelvin Joel Herbruger | Registered representative | Mar 2026 (0y) | ||
| Jason Howard | Registered representative | Mar 2026 (0y) | ||
| Tanya Marie Myers | Registered representative | Mar 2026 (0y) | ||
| Benjamin Stucker | Registered representative | Mar 2026 (0y) | ||
| John George Mac Farlane | Registered representative | Mar 2026 (0y) | ||
| Matthew Michael Lynch | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Aric Jordan Kreeger | Registered representative | Mar 2026 (0y) | ||
| Brad Michael Tavano | Registered representative | Mar 2026 (0y) | ||
| Nicholas S Gullace | Registered representative | Mar 2026 (0y) | ||
| Dana Maria Granberry | Registered representative | Mar 2026 (0y) | ||
| Jason John Arnett | Registered representative | Mar 2026 (0y) | ||
| John Wakefield Feeney | Registered representative | CFP | Mar 2026 (0y) | |
| Matthew Arthur Moore | Registered representative | Mar 2026 (0y) | ||
| Marla Anne Cassidy | Registered representative | Mar 2026 (0y) | ||
| Matthew James Debianchi | Registered representative | Mar 2026 (0y) | ||
| Cody Schweitzer | Registered representative | Mar 2026 (0y) | ||
| Xavier Mcnulty | Registered representative | Mar 2026 (0y) | ||
| Elijah M Eagle | Registered representative | Mar 2026 (0y) | ||
| Anthony Joseph Bonacci | Registered representative | Mar 2026 (0y) | ||
| Cory Jay Miner | Registered representative | Mar 2026 (0y) | ||
| Kevin Michael Turnock | Registered representative | CFP | Mar 2026 (0y) | |
| Renee Antoinette Mantua | Registered representative | Mar 2026 (0y) | ||
| Ashley Bradsky | Registered representative | Mar 2026 (0y) | ||
| Julio Castillo | Registered representative | Mar 2026 (0y) | ||
| Lauren Danielle Greico | Registered representative | Mar 2026 (0y) | ||
| Ryan Walker Martin | Registered representative | Mar 2026 (0y) | ||
| Brandon Joseph Levenson | Registered representative | Mar 2026 (0y) | ||
| Pamela K Smith | Registered representative | Mar 2026 (0y) | ||
| Samuel Mordecai | Registered representative | Mar 2026 (0y) | ||
| Kyle Joseph Bergacker | Registered representative | Mar 2026 (0y) | ||
| Bari Kramer | Registered representative | Mar 2026 (0y) | ||
| Louise Kane | Registered representative | Mar 2026 (0y) | ||
| Julia Jorss | Registered representative | Mar 2026 (0y) | ||
| Justin Hamilton Dewane | Registered representative | Mar 2026 (0y) | ||
| Jaden Ziegler | Registered representative | Mar 2026 (0y) | ||
| Maxwell Joseph Westheimer | Registered representative | Mar 2026 (0y) | ||
| Maria Luisa Chavez | Registered representative | Apr 2026 (0y) | ||
| Philippe Monroe Crane | Registered representative | Apr 2026 (0y) | ||
| Joseph Janik Miller | Registered representative | Apr 2026 (0y) | ||
| Preston Chapman Teller | Registered representative | Apr 2026 (0y) | ||
| Justin John Mueller | Registered representative | Apr 2026 (0y) | ||
| Matthew Rudolph Agnoletto | Registered representative | Apr 2026 (0y) | ||
| Tyler Ray Cox | Registered representative | Apr 2026 (0y) | ||
| Joshua Samuel Luerkens | Registered representative | Apr 2026 (0y) | ||
| Michael A Norris | Registered representative | Apr 2026 (0y) | ||
| Kevin Christopher Butzen | Registered representative | Apr 2026 (0y) | ||
| David Michael Wright | Registered representative | Apr 2026 (0y) | ||
| Jennifer Halper | Registered representative | Apr 2026 (0y) | ||
| Amanda Balistreri | Registered representative | Apr 2026 (0y) | ||
| Brenton L Schaffer | Registered representative | Apr 2026 (0y) | ||
| Daniel Chladek | Registered representative | Apr 2026 (0y) | ||
| Brooke Lucretia Warnert | Registered representative | Apr 2026 (0y) | ||
| Judith Marie Dornacher | Registered representative | Apr 2026 (0y) | ||
| Samuel Johnson | Registered representative | Apr 2026 (0y) | ||
| Robert Lawton | Registered representative | Apr 2026 (0y) | ||
| Kevin Patrick Mc Neely | Registered representative | Apr 2026 (0y) | ||
| Elizabeth Jacquelyn Blockhus | Registered representative | Apr 2026 (0y) | ||
| Lea Brigitte Di Giovanni | Registered representative | Apr 2026 (0y) | ||
| Kristi Ver Steeg | Registered representative | Apr 2026 (0y) | ||
| Owen Johnson | Registered representative | Apr 2026 (0y) | ||
| Joshua Hudecek | Registered representative | Apr 2026 (0y) | ||
| Desiree M Stewart | Registered representative | Apr 2026 (0y) | ||
| Kimberly Faith Sowers | Registered representative | Apr 2026 (0y) | ||
| Rachel Fitzpatrick | Registered representative | Apr 2026 (0y) | ||
| Rory Michael Banks | Registered representative | Apr 2026 (0y) | ||
| Sean R Carter | Registered representative | CFP | Apr 2026 (0y) | |
| William M Michael Banks | Registered representative | CFP | Apr 2026 (0y) | |
| Jacob Steven Anderson | Registered representative | Apr 2026 (0y) | ||
| Joseph London Traw | Registered representative | May 2026 (0y) | ||
| Sydney Renee Swarbrick | Registered representative | May 2026 (0y) | ||
| Van W True | Registered representative | May 2026 (0y) | ||
| Aidan Carter | Registered representative | May 2026 (0y) | ||
| Dorothy Geissler Downs | Registered representative | May 2026 (0y) | ||
| Nicholas Stephen Cosgrove | Registered representative | May 2026 (0y) | ||
| Susanne Clift | Registered representative | May 2026 (0y) | ||
| Robert Douglas Lebo | Registered representative | May 2026 (0y) | ||
| Shannon Tara Ryan | Registered representative | CFP | May 2026 (0y) | |
| Elizabeth A Bafford | Registered representative | May 2026 (0y) | ||
| Thaddeus James Beller | Registered representative | May 2026 (0y) | ||
| Joseph Dinaso | Registered representative | May 2026 (0y) | ||
| Ronald Lee Hall | Registered representative | May 2026 (0y) | ||
| Jeffrey D Moro | Registered representative | CFP | May 2026 (0y) | |
| Samuel J Vasile | Registered representative | May 2026 (0y) | ||
| Angela Lee Pulley | Registered representative | May 2026 (0y) | ||
| Elsa M Wagoner | Registered representative | May 2026 (0y) | ||
| Ryan Joseph Pulver | Registered representative | May 2026 (0y) | ||
| Jasmine Evalise Richardson | Registered representative | May 2026 (0y) | ||
| Mark Daniel Tumpach | Registered representative | CFA | May 2026 (0y) | |
| Alexis I Manning | Registered representative | May 2026 (0y) | ||
| Jared Wade Hoffman | Registered representative | May 2026 (0y) | ||
| Gunner Robinson | Registered representative | May 2026 (0y) | ||
| Heather Sue Weller | Registered representative | CFP | May 2026 (0y) | |
| Rebecca Ellen Lindholm | Registered representative | May 2026 (0y) | ||
| Stephen Fornarola | Registered representative | May 2026 (0y) | ||
| Ashley Palma Locke | Registered representative | May 2026 (0y) | ||
| Byron Lee Ellis | Registered representative | May 2026 (0y) | ||
| Carla Jean Vocatura | Registered representative | May 2026 (0y) | ||
| Joshua B Wright | Registered representative | Jun 2026 (0y) | ||
| Mary Ellen D Cronin | Registered representative | Jun 2026 (0y) | ||
| Scott Weierman | Registered representative | Jun 2026 (0y) | ||
| Logan Shannon | Registered representative | Jun 2026 (0y) | ||
| Abigail Kathleen Thomas | Registered representative | Jun 2026 (0y) | ||
| Daniel V Marra | Registered representative | Jun 2026 (0y) | ||
| Molly Mitten Carlson | Registered representative | Jun 2026 (0y) | ||
| Samuel Quaintance | Registered representative | Jun 2026 (0y) | ||
| Yashvi Shah | Registered representative | Jun 2026 (0y) | ||
| Michael Bradley Edwards | Registered representative | CFP | Jun 2026 (0y) | |
| Timothy R Hummel | Registered representative | Jun 2026 (0y) | ||
| David Donald Powell | Registered representative | Jun 2026 (0y) | ||
| Olimpio Anthony Grieco | Registered representative | Jun 2026 (0y) | ||
| Carter Lewis | Registered representative | Jun 2026 (0y) | ||
| Elliott Doran | Registered representative | Jun 2026 (0y) | ||
| Ryan Patrick Guido Lindsay | Registered representative | Jun 2026 (0y) | ||
| Cole Frierdich | Registered representative | Jun 2026 (0y) | ||
| Heather Elizabeth Peterson | Registered representative | Jun 2026 (0y) | ||
| William Patrick Nelson | Registered representative | CFA | Jun 2026 (0y) | |
| Allana Michelle Campbell | Registered representative | Jun 2026 (0y) | ||
| Hina Khan Class | Registered representative | Jun 2026 (0y) | ||
| Robert Leslie Fletcher | Registered representative | Jun 2026 (0y) | ||
| Warren Steven Alstodt | Registered representative | CFP | Jun 2026 (0y) | |
| Addison Fredette Vigars | Registered representative | Jun 2026 (0y) | ||
| James Collin Mckenna | Registered representative | Jun 2026 (0y) | ||
| Madelyn Paige Simmons | Registered representative | Jun 2026 (0y) | ||
| Raj G Patel | Registered representative | Jun 2026 (0y) | ||
| Colin Joseph Steele | Registered representative | Jun 2026 (0y) | ||
| Maxwell S Borst | Registered representative | Jun 2026 (0y) | ||
| Victor Alejandro Arriaga | Registered representative | Jun 2026 (0y) | ||
| Connor Joseph Hugh Leverett | Registered representative | Jun 2026 (0y) | ||
| Mitchell James Haugh | Registered representative | Jun 2026 (0y) | ||
| Christine Armstrong | Registered representative | Jun 2026 (0y) | ||
| Alexandria Rose Hill | Registered representative | Jun 2026 (0y) | ||
| Jayce Frady | Registered representative | Jun 2026 (0y) | ||
| Brett Tyler Martin | Registered representative | Jun 2026 (0y) | ||
| Simon Rosenbaum | Registered representative | Jun 2026 (0y) | ||
| Tonya Rice | Registered representative | Jun 2026 (0y) | ||
| Barrett Kemp | Registered representative | CFP | Jul 2026 (0y) | |
| David Reese Moore | Registered representative | CFP | Jul 2026 (0y) | |
| Henry Ralph Mac | Registered representative | Jul 2026 (0y) | ||
| Lawrence Alan Fann | Registered representative | Jul 2026 (0y) | ||
| Matthew D Hirshberg | Registered representative | Jul 2026 (0y) | ||
| Ross Henry Skeen | Registered representative | Jul 2026 (0y) | ||
| Christopher James Canal | Registered representative | CFP | Jul 2026 (0y) | |
| Douglas Andrew Nelson | Registered representative | Jul 2026 (0y) | ||
| Colleen C. Kirkpatrick | Registered representative | Jul 2026 (0y) | ||
| Christopher Totten | Registered representative | Jul 2026 (0y) | ||
| John Connor Fenoglio | Registered representative | Jul 2026 (0y) | ||
| Michael James Kieckhaefer | Registered representative | Jul 2026 (0y) | ||
| John Kenneth Maddaloni | Registered representative | Jul 2026 (0y) | ||
| Kelley M Wolff | Registered representative | CFP | Jul 2026 (0y) | |
| Grady West | Registered representative | Jul 2026 (0y) | ||
| Leonardo Reyes | Registered representative | Jul 2026 (0y) | ||
| Michael George Jarjoura | Registered representative | Jul 2026 (0y) | ||
| Charles Elling Larson | Registered representative | Jul 2026 (0y) | ||
| Diana Gabriela Meyers | Registered representative | CFP | Jul 2026 (0y) | |
| Jacob Breitbach | Registered representative | Jul 2026 (0y) | ||
| Thomas J. Eich | Registered representative | Jul 2026 (0y) | ||
| Amy B Hallal | Registered representative | Jul 2026 (0y) | ||
| Jack Wellen | Registered representative | Jul 2026 (0y) | ||
| Juliette Andie Maloberti | Registered representative | Jul 2026 (0y) | ||
| Kristen Clara Gunaca | Registered representative | Jul 2026 (0y) | ||
| Brandy Jean Boyles Vazquez | Registered representative | Jul 2026 (0y) | ||
| John R Muldoon | Registered representative | Jul 2026 (0y) | ||
| Laura Ruth Jerominski | Registered representative | Jul 2026 (0y) | ||
| Richard Austin Hinchey | Registered representative | Jul 2026 (0y) | ||
| Donald Hite Kinsey | Registered representative | Jul 2026 (0y) | ||
| Matthew Joseph Pickett | Registered representative | Jul 2026 (0y) | ||
| Travis Penhollow Moss | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rbc Usa Holdco Corporation | Direct Owner | Nov 2010 | A | 75% or more |
| Royal Bank Of Canada | Ultimate Owner | Nov 2010 | B | ≈ 42.19% – 100% via Rbc Us Group Holdings Llc |
| Rbc Us Group Holdings Llc | Indirect Owner | Jun 2018 | B | ≈ 56.25% – 100% via Rbc Usa Holdco Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Royal Bank Of Canada: 75% – 100% of Rbc Us Group Holdings Llc × 75% – 100% of Rbc Usa Holdco Corporation × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Rbc Us Group Holdings Llc: 75% – 100% of Rbc Usa Holdco Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Traditions Bank Retirement Plan | Traditions Bank | 0 | $0 | 01/01/2025 |
| Plastic Products Company, Inc. 401(k)/ Profit Sharing Plan | Plastic Products Company, Inc. | 914 | $28.7M | 11/01/2024 |
| Meredith Webb Printing Company, Inc. 401(k) Profit Sharing Plan | Meredith Webb Printing Company, Inc. | 97 | $4.7M | 10/01/2024 |
| Emerald Queen Casino 401(k) Plan | Emerald Queen Hotel & Casinos | 1,890 | $99.9M | 10/01/2024 |
| Puyallup Tribal Enterprises, Inc. 401(k) Plan | Puyallup Tribal Enterprises, Inc. | 114 | $8.4M | 10/01/2024 |
| Armstrong Garden Centers, Inc. 401(k) Plan | Armstrong Garden Centers, Inc. | 1,632 | $30.2M | 08/01/2024 |
| The Specialty Mfg. Co. 401(k) Profit Sharing Plan | The Specialty Mfg. Co. | 224 | $54.0M | 07/01/2024 |
| U.A.P.P. Local Union No.142 Pension Plan | Joint Board Of Trustees Of U.A.A.P. 142 Pension Plan | 1,095 | $164M | 07/01/2024 |
| Sheet Metal Workers Local No. 124 Pension Plan | Sheet Metal Workers Local No. 124 Pension Plan | 319 | $57.2M | 07/01/2024 |
| Sheet Metal Workers Local No 124 Supplemental Retirement | Joint Board Of Trustees Sheet Metal Local 124 | 309 | $37.9M | 07/01/2024 |
| Case Management 401(k) Savings Plan | Case Management Unit | 104 | $4.7M | 07/01/2024 |
| U.A.P.P. Local Union No.142 Profit Sharing Plan | U.A.P.P. Local Union No. 142 Profit Sharing Plan | 754 | $8.8M | 07/01/2024 |
| North American Family Institute, Inc. 403(b) Plan | North American Family Institute, Inc. | 1,534 | $31.8M | 07/01/2024 |
| Frisch's Employee 401(k) Savings Plan | Frisch's Restaurants, Inc. | 0 | $0 | 06/01/2024 |
| Imperial Distributors, Inc. 401(k) Retirement Savings Plan | Imperial Distributors, Inc. | 569 | $18.0M | 04/01/2024 |
| Beartooth Billings Clinic 401(k) Plan | Beartooth Billings Clinic | 99 | $7.3M | 02/21/2024 |
| Smart Sand, Inc. Retirement Plan | Smart Sand Inc | 282 | $16.8M | 01/01/2024 |
| Doctors For Emergency Services, P.A. Profit Sharing 401(k) Plan And Trust | Doctors For Emergency Services, P.A. | 0 | $0 | 01/01/2024 |
| Hollstadt Consulting Retirement Savings Plan | Hollstadt & Associates, Inc. | 69 | $14.2M | 01/01/2024 |
| Arnold Companies, Inc. 401(k) Profit Sharing Plan | Arnold Companies, Inc. | 262 | $28.7M | 01/01/2024 |
| Stride Learning Center 401(k) Plan | Stride Learning Center | 77 | $11.7M | 01/01/2024 |
| Lion Star 401(k) Plan | Lion Star Nacogdoches Hospital, Llc Dba Nacogdoches Memorial Hospital | 0 | $0 | 01/01/2024 |
| D. Shelly Group, Inc. 401(k) Retirement Savings Plan | D. Shelly Group, Inc. | 623 | $28.1M | 01/01/2024 |
| Cp 401(k) Savings Plan | Soo Line Railroad Company | 3,053 | $299M | 01/01/2024 |
| Critigen Llc 401(k) Plan | Critigen Llc | 0 | $0 | 01/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Baystate Health Inc | Public charity | $261M | 09/30/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 14.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE DIVISION ALLEGES THAT RBC FAILED TO ADEQUATELY SUPERVISE ITS REPRESENTATIVES WITH RESPECT TO CONCENTRATION AND SUITABILITY OF MLP AND TELECOM POSITIONS IN CERTAIN CLIENT ACCOUNTS. Status: Pending Summary: THE DIVISION ALLEGES THAT RBC FAILED TO ADEQUATELY SUPERVISE ITS REPRESENTATIVES WITH RESPECT TO CONCENTRATION AND SUITABILITY OF MLP AND TELECOM POSITIONS IN CERTAIN CLIENT ACCOUNTS.
Allegations: PRIOR TO TUCKER ANTHONY INC MERGING INTO APPLICANT, TUCKER WAS ALLEGED TO HAVE INCORRECTLY REPORTED TO FIPS TRANSACTIONS DURING THE PERIOD OF 2/28/00 THROUGH 6/8/00. Status: Final Sanction Detail: THE FIRM ACCEPTED THE CENSURE AND PAID THE FINE OF $7500.00 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TUCKER CONSENTED TO A FINE OF $7500 AND FINDINGS BY NASDR THAT IT VIOLATED MARKETPLACE RULES 6240(A)(3) AND 6240(B)(3) IN THAT IT MADE INCORRECT REPORTS INTO THE FIPS SYSTEM.
Allegations: IT IS ALLEGED THAT DURING THE APPROXIMATE PERIOD FROM IN OR ABOUT MAY 2012 THROUGH IN OR ABOUT APRIL 2013, ON NUMEROUS DATES, RBC CAPITAL MARKETS, LLC FAILED TO SUBMIT ORDER ENTRY OPERATOR IDS PURSUANT TO CFE RULE 303A WITH NUMEROUS ORDERS SENT TO CFE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $25,000.00.
Allegations: IT IS ALLEGED THAT RBC CAPITAL MARKETS, LLC (RBCCM) FAILED TO REGISTER SEVENTEEN ASSOCIATED PERSONS AS PROPRIETARY TRADERS WITH THE CHICAGO BOARD OPTIONS EXCHANGE (CBOE) ON VARIOUS DATES BETWEEN ON OR ABOUT NOVEMBER 5, 2011 THROUGH ON OR ABOUT APRIL 29, 2013. IT IS ALSO ALLEGED THAT RBCCM FAILED TO REGISTER ONE ASSOCIATED PERSON WITH CBOE FROM ON OR ABOUT DECEMBER 18, 2012 THROUGH ON OR ABOUT MAY 13, 2013 AS A PROPRIETARY TRADING PRINCIPAL. IN ADDITION, FROM ON OR ABOUT APRIL 1, 2012 THROUGH ON OR ABOUT APRIL 19, 2013, IT IS ALLEGED THAT RBCCM FAILED TO REGISTER ONE ASSOCIATED PERSON WITH CBOE AS A PROPRIETARY TRADER PRINCIPAL. IT IS ALSO ALLEGED THAT RBCCM FAILED TO REGISTER ITS CHIEF COMPLIANCE OFFICER AS A PROPRIETARY TRADER COMPLIANCE OFFICER WITH CBOE BY NOVEMBER 5, 2011 PURSUANT TO EXCHANGE RULE 3.6A. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF FINDINGS THAT IT FAILED TO REGISTER: SEVENTEEN ASSOCIATED PERSONS AS PROPRIETARY TRADERS WITH THE CHICAGO BOARD OPTIONS EXCHANGE (CBOE) ON VARIOUS DATES BETWEEN ON OR ABOUT NOVEMBER 5, 2011 THROUGH ON OR ABOUT APRIL 29, 2013, ONE ASSOCIATED PERSON WITH CBOE FROM ON OR ABOUT DECEMBER 18, 2012 THROUGH ON OR ABOUT MAY 13, 2013 AS A PROPRIETARY TRADING PRINCIPAL, ONE ASSOCIATED PERSON WITH CBOE AS A PROPRIETARY TRADER PRINCIPAL FROM ON OR ABOUT APRIL 1, 2012 THROUGH ON OR ABOUT APRIL 19, 2013, AND ITS CHIEF COMPLIANCE OFFICER AS A PROPRIETARY TRADER COMPLIANCE OFFICER WITH CBOE BY NOVEMBER 5, 2011 PURSUANT TO EXCHANGE RULE 3.6A; THEREFORE THE FIRM IS FINED $40,000.00 AND CENSURED.
Allegations: FROM IN OR ABOUT DECEMBER 2011 THROUGH IN OR ABOUT MARCH 2012, RBC CAPITAL MARKETS, LLC ("RBCCM") IS ALLEGED TO HAVE FAILED TO PROPERLY CLOSE OUT A FAIL-TO-DELIVER POSITION IN SEVEN SAMPLED EQUITY SECURITIES. FROM IN OR ABOUT DECEMBER 2011 THROUGH IN OR ABOUT MARCH 2012, RBCCM IS ALLEGED TO HAVE INCREASED ITS SHORT POSITION WHEN A FAIL-TO-DELIVER POSITION HAD NOT BEEN PROPERLY CLOSED OUT WITHOUT DEMONSTRATING THAT IT MADE ARRANGEMENTS FOR PRE-BORROWING IN SPECIFIC EQUITY SECURITIES. FROM IN OR ABOUT DECEMBER 2011 THROUGH IN OR ABOUT MARCH 2012, RBCCM IS ALLEGED TO HAVE FAILED TO SUPERVISE ITS ASSOCIATED PERSONS TO ASSURE COMPLIANCE WITH REGULATION SHO RULE 204 IN THAT IT: (1) FAILED TO ASSURE THAT NUMEROUS FAIL-TO-DELIVER POSITIONS WERE CLOSED OUT ON A TIMELY BASIS; AND (2) IMPROPERLY ASSERTED RELIANCE ON CERTAIN EXEMPTIONS UNDER REG. SHO RULE 204 WITHOUT UNDERTAKING SUFFICIENT DUE DILIGENCE TO ASCERTAIN AND DOCUMENT THAT SPECIFIC REQUIREMENTS THEREUNDER WERE MET. Status: Final Sanction Detail: A $75,000 FINE AND A CENSURE Summary: WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND AGREED TO PAY A FINE OF $75,000.
Allegations: IT IS ALLEGED THAT THE FIRM FAILED TO TRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS). IT IS ALSO ALLEGED THAT THE FIRMS SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY CALCULATED TO COMPLY WITH APPLICABLE RULES REGARDING TRANSMITTING ORDERS THAT TOOK PLACE OUTSIDE OF THE FIRM'S OMSS TO OATS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE FOR SUPERVISION WITH RESPECT TO THE APPLICABLE RULES; A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKEN BY THE IDENTIFIED PERSON(S); A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND A STATEMENT AS TO HOW THE COMPLETION OF THE STEP(S) INCLUDED IN THE WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $22,500 AND UNDERTAKES TO REVIEW ITS WRITTEN SUPERVISORY PROCEDURES.
Allegations: IT IS ALLEGED THAT DURING THE PERIODS OF APRIL 2011 THROUGH APRIL 2014 AND NOVEMBER 2002 THROUGH DECEMBER 29, 2014, THE FIRM EXPERIENCED SYSTEMS ISSUES DURING THE REVIEW PERIODS THAT RESULTED IN VIOLATION OF NASD RULES 2110 (FOR CONDUCT PRIOR TO DECEMBER 15, 2008), 3010 (FOR CONDUCT PRIOR TO DECEMBER 1, 2014), AND 3310 (FOR CONDUCT PRIOR TO FEBRUARY 15, 2010), AND FINRA RULES 2010 (FOR CONDUCT ON AND AFTER DECEMBER 15, 2008), 3110 (FOR CONDUCT ON AND AFTER DECEMBER 1, 2014), AND 5210 (FOR CONDUCT ON AND AFTER FEBRUARY 15, 2010). THE FIRM IS ALLEGED TO HAVE OVERSTATED ITS ADVERTISED TRADE VOLUME DUE TO A COMPUTER CODING ERROR. DUE TO A SEPARATE COMPUTER CODING ERROR, IT IS ALLEGED THAT THE ADVERTISED TRADE VOLUME FROM THE FIRM'S ELECTRONIC TRADING DESK WAS REPORTED WITH THE WRONG EXECUTION DATE. ADDITIONALLY, THE FIRM IS ALLEGED TO HAVE FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND NASD AND FINRA RULES, CONCERNING ADVERTISED TRADE VOLUME. THE FIRM'S SUPERVISORY SYSTEM ALLEGEDLY DID NOT INCLUDE SUFFICIENT WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR: (1) THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE FOR SUPERVISION WITH RESPECT TO THE APPLICABLE RULES; (2) A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKEN BY THE IDENTIFIED PERSON(S); (3) A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND (4) A STATEMENT AS TO HOW THE COMPLETION OF THE STEP(S) INCLUDED IN THE WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $975,000.00 ($650,000 FOR VIOLATIONS OF NASD RULES 2110 AND 3310, AND FINRA RULES 2010 AND 5210; AND $325,000 FOR VIOLATIONS OF NASD RULES 2110 AND 3010, AND FINRA RULES 2010 AND 3110.
Allegations: IT IS ALLEGED THAT THE FIRM TRANSMITTED TO THE ORDER AUDIT TRAIL SYSTEM (OATS) REPORTS IN WHICH THE SPECIAL HANDLING CODE FIELD WAS NOT POPULATED TO INDICATE WHETHER THE ORDERS WERE "HELD" OR "NOT HELD." THE FINDINGS ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF FINRA, CONCERNING TRANSMITTING ACCURATE INFORMATION TO OATS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES (WSPS) PROVIDING FOR A REVIEW OF THE FIRM'S OATS REPORTS THAT WAS REPRESENTATIVE OF THE TYPES OF BUSINESS IN WHICH THE FIRM ENGAGED TO ENSURE ITS SUBMISSIONS WERE ACCURATE. THE FINDINGS ALSO ALLEGED THAT THE FIRM FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) TRANSACTIONS IN TRACE ELIGIBLE CORPORATE DEBT SECURITIES THAT IT WAS REQUIRED TO REPORT. IN THESE INSTANCES, THE FIRM REPORTED BLOCK TRANSACTIONS THAT WERE TO BE ALLOCATED TO SEPARATE MANAGED ACCOUNTS AS A SINGLE BLOCK INSTEAD OF REPORTING THE ALLOCATIONS AS INDIVIDUAL TRANSACTIONS, AS REQUIRED. THE FINDINGS ALSO ALLEGED THAT THE FIRM EFFECTED CUSTOMER TRANSACTIONS IN A MUNICIPAL SECURITY IN AN AMOUNT LOWER THAN THE MINIMUM DENOMINATION OF THE ISSUE, WHICH WERE NOT SUBJECT TO AN EXCEPTION UNDER THE APPLICABLE MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB) RULE. FINRA ALLEGED THAT THE FIRM ALSO FAILED TO DISCLOSE ALL MATERIAL FACTS CONCERNING MUNICIPAL SECURITIES TRANSACTIONS AT OR PRIOR TO THE TIME OF TRADE. SPECIFICALLY, THE FIRM FAILED TO INFORM ITS CUSTOMER THAT THE MUNICIPAL SECURITIES TRANSACTION WAS IN AN AMOUNT BELOW THE MINIMUM DENOMINATION OF THE ISSUE. FINRA ALSO ALLEGED THAT THE FIRM FAILED TO REPORT INFORMATION REGARDING 18,634 PURCHASE AND SALE TRANSACTIONS EFFECTED IN MUNICIPAL SECURITIES TO THE REALTIME TRANSACTION REPORTING SYSTEM (RTRS). FOR APPROXIMATELY 1,500 OF THESE INSTANCES, THE FIRM REPORTED BLOCK TRANSACTIONS THAT WERE TO BE ALLOCATED TO SEPARATE MANAGED ACCOUNTS AS A SINGLE BLOCK INSTEAD OF REPORTING THE ALLOCATIONS AS INDIVIDUAL TRANSACTIONS, AS REQUIRED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM WAS CENSURED AND FINED $225,000.00 ($125,000 FOR THE OATS REPORTING VIOLATIONS OF NASD RULE 6955(A) AND FINRA RULE 7450(A), $25,000 FOR SUPERVISION VIOLATIONS OF NASD RULE 3010, FINRA RULE 3110, NASD RULE 2110 AND FINRA RULE 2010; $25,000 FOR TRACE REPORTING VIOLATIONS OF FINRA RULE 6730(B); $22,500 FOR THE MUNICIPAL SECURITIES MINIMUM DENOMINATION VIOLATIONS OF MSRB RULE G-15(F); $7,500 FOR THE MUNICIPAL SECURITIES DISCLOSURE VIOLATIONS OF MSRB RULE G-17 AND MSRB RULE G-47; AND $20,000 FOR THE MUNICIPAL SECURITIES TRADE REPORTING VIOLATIONS OF MSRB RULE G-14). THE FIRM WILL UNDERTAKE TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO PROVIDING FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE OATS REPORTING VIOLATIONS AS DESCRIBED IN THE AWC, AND OFFER RESCISSION TO THE CUSTOMERS WHO EXECUTED THE TRANSACTIONS LISTED ON EXHIBIT A OF THE AWC AT EITHER THE ORIGINAL PURCHASE PRICE OR THE CURRENT FAIR MARKET VALUE, WHICHEVER IS HIGHER; ADDITIONALLY THE OFFER OF RESCISSION SHALL REMAIN OPEN WITH THE AFFECTED CUSTOMER FOR A PERIOD OF 60 DAYS. Summary: FINRA CASE NUMBER 20150464695 INCLUDES CASE NUMBERS 20150465800, 20160492672, 20160494357, AND 2016052372
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO EDGA. PURSUANT TO EDGA RULE 8.8, THE DECISION IN THIS MATTER IS FINAL 20 BUSINESS DAYS AFTER THE ISSUANCE OF THE DECISION. THEREFORE, THIS AWC BECAME FINAL OCTOBER 18, 2017. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO NASDAQ. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO NYSE. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT ON THE REVIEW DATE, THE FIRM FAILED TO TAKE REASONABLE STEPS TO AVOID DISPLAYING, AND ENGAGED IN A PATTERN OR PRACTICE OF DISPLAYING, QUOTATIONS THAT LOCKED OR CROSSED A PROTECTED QUOTATION, WITHOUT SIMULTANEOUSLY ROUTING AN ISO TO EXECUTE AGAINST THE FULL DISPLAYED SIZE OF ANY PROTECTED QUOTATION THAT WAS A LOCKING QUOTATION OR CROSSING QUOTATION. THE FINDINGS ALSO STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. THE FIRM'S REGULATION NMS COMPLIANCE ISO EXCEPTION REPORTS, WHICH WERE REVIEWED BY FIRM PERSONNEL, DID NOT IDENTIFY THAT THE FIRM HAD LOCKED OR CROSSED A PROTECTED QUOTATION ON THE REVIEW DATE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO EDGX. THE FIRM WAS ALSO FINED $10,500 FOR THE FINDINGS IN THE REVIEW OF ACTION NUMBER 20160512855. THUS, THE FIRM WAS FINED A TOTAL FINE OF 21,000. PURSUANT TO EDGX RULE 8.8, THE DECISION IN THIS MATTER IS FINAL 20 BUSINESS DAYS AFTER THE ISSUANCE OF THE DECISION. THEREFORE, THIS AWC BECAME FINAL OCTOBER 18, 2017. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO NASDAQ BX. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: THE FIRM ENTERED INTO AN OFFER OF SETTLEMENT AND CONSENT FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS REFERRED TO IN THE OFFER OF SETTLEMENT. THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO NYSE ARCA. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO BZX. PURSUANT TO BZX RULE 8.8, THE DECISION IN THIS MATTER IS FINAL 20 BUSINESS DAYS AFTER THE ISSUANCE OF THE DECISION. THEREFORE, THIS AWC BECAME FINAL OCTOBER 18, 2017. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN RULE 600(B)(30) OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES THAT WOULD ENABLE IT IN CERTAIN INSTANCES TO PROMPTLY IDENTIFY ISSUES WITH THE FIRM'S ACCESS TO TIMELY AND ACCURATE MARKET DATA. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, THE TOTAL AMOUNT OF $84,000, OF WHICH $10,500 IS PAYABLE TO BYX. PURSUANT TO BYX RULE 8.8, THE DECISION IN THIS MATTER IS FINAL 20 BUSINESS DAYS AFTER THE ISSUANCE OF THE DECISION. THEREFORE, THIS AWC BECAME FINAL OCTOBER 18, 2017. Summary: ACTION NUMBER 20140416350 INCLUDES 20150441761 AND 20160512855
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES, DESIGNED TO PREVENT AND DETECT VIOLATIONS OF EXCHANGE ACT RULE 14E-4 RELATING TO ITS TENDER OF 32,567 SHARES INTO THE BAXTER INTERNATIONAL ("BAX") PARTIAL TENDER OFFER ON MAY 18, 2016 IN EXCESS OF ITS NET LONG POSITION. Status: Final Sanction Detail: THE FIRM CONSENTED TO A $20,000 FINE, A CENSURE AND DISGORGEMENT IN THE AMOUNT OF $6,865.12. PAYMENT WAS MADE ON JANUARY 5, 2018. Summary: A SUMMARY OF THIS ACTION IS SET FORTH IN THE LETTER OF CONSENT, WHICH IS PUBLICLY AVAILABLE VIA THE CBOE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DID NOT FOLLOW UP ON POSITION LIMIT OVERAGES AND FAILED TO PROMPTLY TAKE THE ACTION NECESSARY TO BRING A POSITION INTO COMPLIANCE. THE FINDINGS STATED THAT A CORRESPONDENT FIRM, A CLIENT OF THE FIRM, EFFECTED OPENING TRANSACTIONS FOR THE ACCOUNT OF ITS CUSTOMER THAT EXCEEDED THE APPLICABLE POSITION LIMIT ON THE BULLISH SIDE OF THE MARKET IN A SECURITY, WHICH WAS 50,000 CONTRACTS, BY 5,676 CONTRACTS. THE NEXT DAY, THE CORRESPONDENT FIRM EXECUTED AN ADDITIONAL 500 CONTRACTS IN THE SECURITY FOR THE SAME CUSTOMER WHILE THE CUSTOMER'S POSITION IN THE SECURITY HAD ALREADY EXCEEDED THE POSITION LIMIT ON THE PREVIOUS TRADING DAY, WHICH FURTHER CAUSED THE APPLICABLE POSITION LIMIT TO BE EXCEEDED BY A TOTAL OF 6,176 CONTRACTS. THE FINDINGS ALSO STATED THAT THE FIRM MAINTAINED AND CLEARED THE OPTIONS POSITIONS IN THE SECURITY FOR THE CORRESPONDENT FIRM. DURING A BI-MONTHLY SURVEILLANCE REVIEW OF OPTIONS POSITIONS THAT THE FIRM CONDUCTED, IT IDENTIFIED THE POSITIONS IN THE SECURITY. HOWEVER, THE FIRM MISTOOK THE 5,000,000 SHARES POSITION LIMIT, WHICH IT HAD OBTAINED FROM THE WEBSITE OF THE OPTIONS CLEARING CORPORATION, AS CONTRACTS. THE 5,000,000 SHARES POSITION LIMIT IS EQUIVALENT TO THE 50,000 CONTRACTS POSITION LIMIT SINCE THE SHARES DELIVERABLE OF AN OPTIONS CONTRACT IS 100 SHARES. AS SUCH, THE FIRM CONSIDERED THE SUBJECT OPTIONS POSITION TO BE WITHIN THE POSITION LIMIT. AS A RESULT, THE FIRM DID NOT FOLLOW UP ON THESE POSITION LIMIT OVERAGES AND FAILED TO PROMPTLY TAKE THE ACTION NECESSARY TO BRING THE POSITION INTO COMPLIANCE. FURTHER, THE CORRESPONDENT FIRM ALSO FAILED TO BRING ITS CUSTOMER'S POSITION IN THE SECURITY INTO COMPLIANCE WITH THE APPLICABLE POSITION LIMIT. THE POSITION LIMIT IN A SECURITY WAS EXCEEDED FOR A TOTAL 16 CONSECUTIVE TRADING DAYS, WHICH RANGED FROM APPROXIMATELY 11 PERCENT TO 12 PERCENT OVER THE APPLICABLE LIMIT FOR THE SECURITY. ON MARCH 18, 2016, A POSITION LIMIT INCREASE WAS PUBLISHED BY THE OPTIONS CLEARING CORPORATION THAT INCREASED THE LIMIT FROM 50,000 CONTRACTS TO 75,000 CONTRACTS, WHICH BROUGHT THE CUSTOMER'S POSITIONS IN COMPLIANCE. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE NASDAQ OPTIONS MARKET LLC (NOM), CONCERNING POSITION LIMITS. SPECIFICALLY, THE FIRM ONLY CONDUCTED A BI-MONTHLY SURVEILLANCE REVIEW OF OPTIONS POSITIONS TO DETERMINE COMPLIANCE WITH POSITION LIMITS, AND IT FAILED TO DETECT THE POSITION LIMIT OVERAGES IN THE SECURITY WHEN THEY WERE REVIEWED. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $13,500. Summary: ON MAY 2, 2016, THE FIRM MODIFIED ITS SUPERVISORY SYSTEMS AND PROCEDURES TO PROVIDE FOR A DAILY REVIEW OF OPTIONS POSITIONS TO DETERMINE COMPLIANCE WITH POSITION LIMITS FOR SECURITIES IN RBC WEALTH MANAGEMENT, A DIVISION OF THE FIRM.
Allegations: THE CLEARING HOUSE RISK COMMITTEE OF THE CHICAGO MERCHANTILE EXCHANGE ALLEGED THAT THE FIRM VIOLATED CME RULE 971.A.1. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS FINED $50,000.
Allegations: IT WAS ALLEGED THAT ON TWO SETTLEMENT DATES THE FIRM ENTERED SELL-SIDE ORDERS PRIOR TO THE CUT-OFF TIME FOR PARTICIPATION IN THE SPECIAL OPENING QUOTATION AND SUBSEQUENTLY CHANGED ITS ORDERS THROUGH SUBMISSION OF BUY-SIDE ORDERS AFTER THE CUT-OFF TIME WHICH IS VIOLATION OF CBOE RULE 6.2B. IT WAS FURTHER ALLEGED THAT THE FIRM VIOLATED CBOE RULE 4.2 FOR FAILING TO SUPERVISE ITS ASSOCIATED PERSONS TO ASSURE COMPLIANCE WITH EXCHANGE RULE 6.2B FOR FAILING TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY PROCEDURES FOR COMPLIANCE WITH EXCHANGE RULE 6.2B. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT WAS FINED $75,000.00.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD OF JANUARY 1, 2014 THROUGH APRIL 5, 2016, THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ACCOUNT FOR THE MULTI-DAY APPROACH, WHICH IS UTILIZED TO CALCULATE CREDIT TOWARD THE FIRM'S CLOSE-OUT AND DELIVERY OBLIGATIONS. THE FIRM'S DEFICIENT SUPERVISORY SYSTEM ALLOWED NUMEROUS VIOLATIONS OF RULE 204 OF REGULATION SHO TO GO UNDETECTED. THE FINDINGS ALSO PROVIDED THAT THE FIRM FAILED TO CLOSE OUT THE FAIL-TO-DELIVER POSITIONS IN ACCORDANCE WITH RULE 204 OF REGULATION SHO DURING THE PERIODS OF JUNE 1, 2013 THROUGH SEPTEMBER 30, 2013, OCTOBER 1, 2014 THROUGH DECEMBER 31, 2014, AND JANUARY 1, 2016 THROUGH JUNE 2, 2016. THIRD, THE FINDINGS PROVIDED THAT THE FIRM HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN AN EQUITY SECURITY AND DID NOT CLOSE OUT THE FAIL-TO-DELIVER POSITIONS BY PURCHASING OR BORROWING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME PRESCRIBED BY RULE 204(A) OF REGULATION SHO, AND FINRA RULE 2010. THE DEPARTMENT OF ENFORCEMENT FOUND THAT THE FIRM VIOLATED NASD RULE 3010 (FOR CONDUCT PRIOR TO DECEMBER 1, 2014) AND FINRA RULE 3110 (FOR CONDUCT ON OR AFTER DECEMBER 1, 2014), RULE 204(A) OF REGULATION SHO OF THE EXCHANGE ACT, AND FINRA RULE 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDING, THE FIRM CONSENTED TO THE DESCRIBED SANCATIONS AND TO THE ENTRY OR FINDINGS; THEREFORE THE FIRM WAS CENSURED AND FINED $215,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN EXCHANGE ACT RULE 600(B)(30) LEADING TO CONDUCT IN VIOLATION OF RULE 611(C). THE FINDINGS STATE THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM WAS CENSURED AND FINED A TOTAL OF $30,000 TO BE PAID JOINTLY, OF WHICH $15,000 WAS ALLOCATED TO THE EXCHANGE. THE FIRM WAS ALSO REQUIRED TO REVISE ITS SUPERVISORY PROCEDURES TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING INTERMARKET SWEEP ORDERS (ISOS) THAT COMPLIED WITH THE SEC'S REGULATION NMS. THIS MATTER WILL BECOME FINAL MAY 7, 2019.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN EXCHANGE ACT RULE 600(B)(30) LEADING TO CONDUCT IN VIOLATION OF RULE 611(C). THE FINDINGS STATE THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM WAS CENSURED AND FINED A TOTAL OF $30,000 TO BE PAID JOINTLY, OF WHICH $12,000 WAS ALLOCATED TO THE EXCHANGE. THE FIRM WAS ALSO REQUIRED TO REVISE ITS SUPERVISORY PROCEDURES TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING INTERMARKET SWEEP ORDERS (ISOS) THAT COMPLIED WITH THE SEC'S REGULATION NMS. THIS MATTER WILL BECOME FINAL MAY 7, 2019.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT CERTAIN OF THE INTERMARKET SWEEP ORDERS (ISOS) IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN EXCHANGE ACT RULE 600(B)(30) LEADING TO CONDUCT IN VIOLATION OF RULE 611(C). THE FINDINGS STATE THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING ISOS THAT COMPLIED WITH THE SEC'S REGULATION NMS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM WAS CENSURED AND FINED A TOTAL OF $30,000 TO BE PAID JOINTLY, OF WHICH $3,000 WAS ALLOCATED TO THE EXCHANGE. THE FIRM WAS ALSO REQUIRED TO REVISE ITS SUPERVISORY PROCEDURES TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF THE EXCHANGE, CONCERNING INTERMARKET SWEEP ORDERS (ISOS) THAT COMPLIED WITH THE SEC'S REGULATION NMS. THIS MATTER WILL BECOME FINAL MAY 7, 2019.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE OF $5,984
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $100,000, OF WHICH $6,721 IS PAYABLE TO THE EXCHANGE. THE REMAINING BALANCE IS TO BE PAID TO OTHER SELF-REGULATORY ORGANIZATIONS IN RELATED SETTLEMENT AGREEMENTS BETWEEN THE FIRM AND THESE SELF-REGULATORY ORGANIZATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE OF $36,592
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $100,000, OF WHICH $7,138 IS PAYABLE TO THE EXCHANGE. THE REMAINING BALANCE IS TO BE PAID TO OTHER SELF-REGULATORY ORGANIZATIONS IN RELATED SETTLEMENT AGREEMENTS BETWEEN THE FIRM AND THESE SELF-REGULATORY ORGANIZATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $100,000, OF WHICH $5,687 IS PAYABLE TO THE EXCHANGE. THE REMAINING BALANCE IS TO BE PAID TO OTHER SELF-REGULATORY ORGANIZATIONS IN RELATED SETTLEMENT AGREEMENTS BETWEEN THE FIRM AND THESE SELF-REGULATORY ORGANIZATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $100,000, OF WHICH $4,098 IS PAYABLE TO THE EXCHANGE. THE REMAINING BALANCE IS TO BE PAID TO OTHER SELF-REGULATORY ORGANIZATIONS IN RELATED SETTLEMENT AGREEMENTS BETWEEN THE FIRM AND THESE SELF-REGULATORY ORGANIZATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $100,000, OF WHICH $5,509 IS PAYABLE TO THE EXCHANGE. THE REMAINING BALANCE IS TO BE PAID TO OTHER SELF-REGULATORY ORGANIZATIONS IN RELATED SETTLEMENT AGREEMENTS BETWEEN THE FIRM AND THESE SELF-REGULATORY ORGANIZATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MAKETS, LLC ("RBC" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ENTERED 670 PRINCIPAL ORDERS WITH INCORRECT ORIGIN CODES, INDICATING THAT THE ORDERS WERE FOR CUSTOMERS INSTEAD OF THE FIRM. THE FINDINGS STATED THAT THE FIRM IGNORED RED FLAGS AND FAILED TO REMEDY THE PATTERN OF ENTERING AND EXECUTING ORDERS WITH INCORRECT ORIGIN CODES. IN ADDITON TO THE FOREGOING, FOR THE CALENDAR YEAR 2018, RBC CONDUCTED ELEVEN OF TWELVE MONTHLY ORIGIN CODE REVIEWS LATE. RBC FAILED TO ENFORCE ITS PROCEDURES REQUIRING TIMELY ORIGIN CODE REVIEWS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE OF $28,271
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC ("RBC", THE "FIRM", OR "RESPONDENT") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT RBC FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND/OR ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT THE EXCHANGE AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FINDINGS STATED THAT RBC'S WRITTEN SUPERVISORY PROCEDURES (WSPS)AND SUPERVISORY SYSTEM APPLICABLE TO THE HANDLING OF MANUAL OPTIONS ORDERS BY ITS GLOBAL EQUITY LINKED PRODUCTS DESK (THE GELP DESK) AND BY ITS WEALTH MANAGEMENT OPTIONS DESK (THE WM DESK) WERE NOT REASONABLY DESIGNED. THAT IS, THEY WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT VIOLATIONS OF, THE APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS AND THE EXCHANGE RULES. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $9,000
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC ("RBC", THE "FIRM", OR "RESPONDENT") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT RBC FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND/OR ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT THE EXCHANGE AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FINDINGS STATED THAT RBC'S WRITTEN SUPERVISORY PROCEDURES (WSPS) AND SUPERVISORY SYSTEM APPLICABLE TO THE HANDLING OF MANUAL OPTIONS ORDERS BY ITS GLOBAL EQUITY LINKED PRODUCTS DESK (THE GELP DESK) AND BY ITS WEALTH MANAGEMENT OPTIONS DESK (THE WM DESK) WERE NOT REASONABLY DESIGNED. THAT IS, THEY WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT, INSOFAR AS PRACTICABLE, VIOLATIONS OF, THE APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS AND THE EXCHANGE RULES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $61,200, OF WHICH $15,300 IS PAYABLE TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC ("RBC", THE "FIRM", OR "RESPONDENT") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT RBC FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND/OR ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT THE EXCHANGE AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FINDINGS STATED THAT RBC'S WRITTEN SUPERVISORY PROCEDURES (WSPS)AND SUPERVISORY SYSTEM APPLICABLE TO THE HANDLING OF MANUAL OPTIONS ORDERS BY ITS GLOBAL EQUITY LINKED PRODUCTS DESK (THE GELP DESK) AND BY ITS WEALTH MANAGEMENT OPTIONS DESK (THE WM DESK) WERE NOT REASONABLY DESIGNED. THAT IS, THEY WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT, INSOFAR AS PRACTICABLE, VIOLATIONS OF, THE APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS AND THE EXCHANGE RULES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $61,200, OF WHICH $15,300 IS PAYABLE TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC ("RBC", THE "FIRM", OR "RESPONDENT") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT RBC FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND/OR ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT THE EXCHANGE AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FINDINGS STATED THAT RBC'S WRITTEN SUPERVISORY PROCEDURES (WSPS)AND SUPERVISORY SYSTEM APPLICABLE TO THE HANDLING OF MANUAL OPTIONS ORDERS BY ITS GLOBAL EQUITY LINKED PRODUCTS DESK (THE GELP DESK) AND BY ITS WEALTH MANAGEMENT OPTIONS DESK (THE WM DESK) WERE NOT REASONABLY DESIGNED. THAT IS, THEY WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT VIOLATIONS OF, THE APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS AND THE EXCHANGE RULES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $61,200, OF WHICH $15,300 IS PAYABLE TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC ("RBC", THE "FIRM", OR "RESPONDENT") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT RBC FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND/OR ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED THE NASDAQ OPTIONS MARKET AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION. THE FINDINGS STATED THAT RBC'S WRITTEN SUPERVISORY PROCEDURES (WSPS)AND SUPERVISORY SYSTEM APPLICABLE TO THE HANDLING OF MANUAL OPTIONS ORDERS BY ITS GLOBAL EQUITY LINKED PRODUCTS DESK (THE GELP DESK) AND BY ITS WEALTH MANAGEMENT OPTIONS DESK (THE WM DESK) WERE NOT REASONABLY DESIGNED. THAT IS, THEY WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT VIOLATIONS OF, THE APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS AND THE EXCHANGE RULES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $61,200, OF WHICH $15,300 IS PAYABLE TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, RBC CAPITAL MARKETS, LLC (THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FEBRUARY 14, 2017 THROUGH DECEMBER 31, 2017, THE FIRM VIOLATED NASDAQ RULES 4613(A), 3010 AND 2010A. Status: Final Sanction Detail: TOTAL FINE WAS 37,500 AND WILL BE PAID BY DIRECT DEBIT IN THE NORMAL COURSE.
Allegations: THE CLEARING HOUSE RISK COMMITTEE OF THE CHICAGO MERCANTILE EXCHANGE ALLEGED THAT THE FIRM VIOLATED CME RULE 971.A.1. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, AND THEREFORE WAS FINED $50,0000.
Allegations: RBC CAPITAL MARKETS, LLC VIOLATED RULE 15C3-5(B) AND (C)(1)(II) AND BZX RULES 3.2 AND 5.1 IN THAT THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATE DUPLICATIVE ORDERS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $45,000.
Allegations: RBC CAPITAL MARKETS, LLC VIOLATED RULE 15C3-5(B) AND (C)(1)(II) AND EDGX RULES 3.2 AND 5.1 IN THAT THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATE DUPLICATIVE ORDERS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $45,000.
Allegations: BC CAPITAL MARKETS, LLC VIOLATED RULE 15C3-5(B) AND (C)(1)(II) AND BYX RULES 3.2 AND 5.1 IN THAT THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATE DUPLICATIVE ORDERS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $70,000.
Allegations: RBC CAPITAL MARKETS, LLC VIOLATED RULE 15C3-5(B) AND (C)(1)(II) AND EDGA RULES 3.2 AND 5.1 IN THAT THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATE DUPLICATIVE ORDERS. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $45,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO CREATE, MAINTAIN, AND PRESERVE ACCURATE RECORDS OF MANUAL CUSTOMER ORDERS ROUTED TO THE NYSE AMERICAN OPTIONS FLOOR (THE "AMERICAN OPTIONS FLOOR"). THE FINDINGS STATED THAT THE FIRM FAILED TO ACCURATELY MAKE AND KEEP CURRENT ORDER MEMORANDA REFLECTING THE PRICE AND TRANSMISSION TIMES FOR INSTITUTIONAL CUSTOMER ORDERS THAT IT ROUTED TO THE AMERICAN OPTIONS FLOOR. THESE INACCURACIES RESULTED FROM THE FACT THAT WHEN ROUTING ORDERS TO THE AMERICAN OPTIONS FLOOR, THE FIRM'S PROPRIETARY ORDER MANAGEMENT SYSTEM TRANSMITTED AS THE PRICE OF THE ORDERS A SNAPSHOT OF THE MARKET AT THE TIME, RATHER THAN THE ACTUAL PRICE AT WHICH THE FIRM WANTED TO TRADE. FIRM TRADERS WOULD THEN CONTACT NYSE AMERICAN FLOOR BROKERS THROUGH COMMUNICATION CHANNELS (SOME BUT NOT ALL OF WHICH IT HAS RETAINED) WITH THE TRUE PRICE ONCE IT HAD BEEN AGREED UPON WITH ITS INSTITUTIONAL CUSTOMER. HOWEVER, THE FIRM DID NOT MAKE OR KEEP CURRENT ORDER MEMORANDA OF THESE TRUE PRICES OR THE TIME AT WHICH IT TRANSMITTED THEM TO THE AMERICAN OPTIONS FLOOR FOR EXECUTION. SECOND, THE ELECTRONIC TRANSMISSION TIMES RECORDED BY THE FIRM AND PRODUCED TO NYSE REGULATION WERE INACCURATE. THIRD, THE FIRM ROUTINELY RECORDED MANUALLY RECEIVED INSTITUTIONAL CUSTOMER OPTIONS ORDERS AS HAVING A PRICE OF MKT, FOR MARKET ORDER, DESPITE THE FIRM HAVING AGREED TO A SPECIFIC PRICE WITH ITS INSTITUTIONAL CUSTOMER. THE FIRM FAILED TO MAKE OR KEEP CURRENT ORDER MEMORANDA REFLECTING THIS AGREED-UPON PRICE. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH ITS BOOKS AND RECORDS OBLIGATIONS. SPECIFICALLY, THE FIRM FAILED TO MAINTAIN A REASONABLY DESIGNED SUPERVISORY SYSTEM TO ENSURE THE CREATION AND RETENTION OF ACCURATE RECORDS FOR MANUAL OPTIONS ORDERS, INCLUDING: (I) THE PRICES OF ORDERS THAT IT TRANSMITTED TO THE AMERICAN OPTIONS FLOOR FOR EXECUTION; (II) THE TIME AT WHICH IT TRANSMITTED ORDERS TO THE AMERICAN OPTIONS FLOOR FOR EXECUTION; AND (III) THE PRICES OF THE ORDERS IT RECEIVED FROM ITS INSTITUTIONAL CUSTOMERS. THE FIRM FAILED TO REMEDY THE BOOKS AND RECORDS VIOLATIONS NOTED ABOVE DESPITE, AMONG OTHER THINGS, DISCUSSIONS WITH NYSE REGULATION IDENTIFYING POTENTIAL INACCURACIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $250,000 AND REQUIRED TO CERTIFY THAT IT HAS CORRECTED THE DEFICIENCIES WITH ITS BOOKS AND RECORDS PROCEDURES.
Allegations: RBC CAPITAL MARKETS, LLC VIOLATED CBOE RULES 4.1 AND 6.9 IN THAT THE FIRM BY AND THROUGH ITS ASSOCIATED PERSON ENTERED AN ORDER IN THE SAME OPTIONS CLASS PRIOR TO THE PUBLIC DISCLOSURE OF THE ORIGINAL CUSTOMER ORDER'S TERMS AND CONDITIONS. Status: Final Sanction Detail: RBC RECEIVED A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $90,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS SUITABILITY OBLIGATIONS IN CONNECTION WITH SYNDICATE PREFERRED STOCK. THE FINDINGS STATED THAT WHILE THE FIRM'S PROCEDURES CALLED FOR SUPERVISORS TO CLOSELY EXAMINE REPRESENTATIVES' SHORT-TERM TRADING OF PREFERRED STOCKS, THE FIRM'S ELECTRONIC SURVEILLANCE OF SHORT-TERM TRADING IN PREFERRED STOCK WAS UNREASONABLY DESIGNED, AND IT FAILED TO MONITOR FOR THAT ACTIVITY. ALTHOUGH THE SURVEILLANCE SYSTEM HAD CERTAIN ALERTS THAT SPECIFICALLY MONITORED FOR SHORT-TERM TRADING IN OTHER PRODUCTS, SUCH AS CLOSED-END FUNDS, IT DID NOT HAVE ANY ALERTS THAT SPECIFICALLY MONITORED FOR SHORT-TERM TRADING IN PREFERRED STOCK. THE FIRM ALSO DID NOT HAVE ANY OTHER ALERTS THAT FLAGGED THE PURCHASE AND SALE WITHIN 180 DAYS OF SYNDICATE PREFERRED STOCK. REGISTERED REPRESENTATIVES AT THE FIRM RECOMMENDED A NUMBER OF THE FIRM'S RETAIL CUSTOMERS PURCHASE SYNDICATE PREFERRED STOCKS, AND THEN SELL THE POSITIONS WITHIN 180 DAYS, AND THE CUSTOMERS SUSTAINED LOSSES ON THESE TRANSACTIONS. THE FIRM EARNED $653,313 IN SELLING CONCESSIONS FROM THE SYNDICATE PURCHASES AND $128,643 IN SALES COMMISSIONS FROM THE SUBSEQUENT SALES. THE FIRM CONDUCTED A SUBSTANTIAL SYNDICATE PREFERRED STOCK BUSINESS YET DID NOT MAINTAIN A REASONABLE SUPERVISORY SYSTEM TO MONITOR WHETHER ITS REPRESENTATIVES RECOMMENDED SHORT-TERM TRADING OF SYNDICATE PREFERRED SECURITIES THAT WAS UNSUITABLE, INCLUDING FOR THE PURPOSE OF CAPTURING SALES CONCESSIONS AND COMMISSIONS. WHILE THE FIRM'S PROCEDURES CALLED FOR SUPERVISORS TO CLOSELY EXAMINE WHETHER BROKERS WERE ENGAGING IN SHORT-TERM TRADING OF PREFERRED STOCKS, THE FIRM DID NOT IMPLEMENT A SUPERVISORY SYSTEM REASONABLY DESIGNED TO MONITOR FOR THAT TRADING ACTIVITY. THE FIRM USED ITS AUTOMATED SURVEILLANCE SYSTEM TO MONITOR TRADING, BUT EMPLOYED NO ALERTS SPECIFIC TO PREFERRED STOCKS, AND ITS MORE GENERAL ALERTS WERE NOT SUFFICIENTLY REASONABLY TAILORED TO MONITOR FOR POTENTIALLY UNSUITABLE SHORT-TERM TRADING OF PREFERRED STOCK. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $300,000, ORDERED TO PAY $128,643.17, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS, ORDERED TO PAY $653,312.83, PLUS INTEREST, IN DISGORGEMENT, AND REQUIRED TO CERTIFY THAT IT HAS REMEDIATED THE ISSUES IDENTIFIED IN THIS AWC AND IMPLEMENTED A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULE 3110 REGARDING THE ISSUES IDENTIFIED IN THIS AWC.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT SENT TRADE CONFIRMATIONS TO CUSTOMERS THAT CONTAINED INACCURATE INFORMATION. THE FINDINGS STATED THAT THE FIRM SENT ITS INSTITUTIONAL CUSTOMERS CONFIRMATIONS FOR FIXED INCOME TRANSACTIONS, INCLUDING CERTAIN MUNICIPAL SECURITIES TRANSACTIONS, THAT INACCURATELY STATED THAT THE TRANSACTIONS WERE EXECUTED IN AN AGENCY CAPACITY, WHEN THEY WERE EXECUTED IN A PRINCIPAL CAPACITY. THE INACCURACIES STEMMED FROM CODING ERRORS IN THE ELECTRONIC SYSTEMS THAT THE FIRM RELIED ON FOR SENDING TRADE CONFIRMATIONS. THE FIRM ALSO SENT ITS INSTITUTIONAL CUSTOMERS TRADE CONFIRMATIONS THAT INACCURATELY STATED THAT CERTAIN TRANSACTIONS THAT WERE SOLICITED WERE UNSOLICITED AND VICE VERSA. THESE INACCURACIES RESULTED FROM THE FIRM'S CODING OF ITS FIXED INCOME TRADE ORDER MANAGEMENT SYSTEM TO AUTOMATICALLY POPULATE CERTAIN CONFIRMATIONS WITH A DESIGNATION THAT THE TRANSACTIONS WERE SOLICITED, AND OTHERS WITH A DESIGNATION THAT THE TRANSACTIONS WERE UNSOLICITED. IN ADDITION, THE FIRM FAILED TO DELIVER TRADE CONFIRMATIONS TO CUSTOMERS THAT HAD REQUESTED ELECTRONIC DELIVERY OF TRADE CONFIRMATIONS. FURTHERMORE, THE FIRM FAILED TO SEND TRADE CONFIRMATIONS FOR MILLIONS OF DIVIDEND REINVESTMENT PROGRAM (DRIP) TRANSACTIONS. THE FIRM DID NOT PROVIDE CUSTOMERS WITH A DETAILED WRITTEN DESCRIPTION OF THE DRIP PRIOR TO ENROLLMENT CONTAINING CERTAIN DISCLOSURES, AS REQUIRED BY A NO-ACTION LETTER THAT THE SEC PUBLISHED. THE FIRM INSTEAD CONFIRMED AUTOMATIC DIVIDEND REINVESTMENTS PURSUANT TO A DRIP THROUGH MONTHLY ACCOUNT STATEMENTS RATHER THAN TRADE-BY-TRADE CONFIRMATIONS. HOWEVER, BY FAILING TO COMPLY WITH THE CONDITIONS OF THE NO-ACTION LETTER, THE FIRM DID NOT QUALIFY FOR EXEMPTIVE RELIEF FROM RULE 10B-10(A)'S TRADE-BY-TRADE CONFIRMATION REQUIREMENT. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH TRADE CONFIRMATION REQUIREMENTS. THE FIRM'S WSPS FAILED TO DESCRIBE HOW SUPERVISORS SHOULD CONDUCT PERIODIC MONITORING TO CONFIRM THAT INTERNAL FIRM SYSTEMS AND THIRD-PARTY VENDOR SYSTEMS WERE WORKING AS INTENDED TO SEND CUSTOMERS TRADE CONFIRMATIONS WHEN REQUIRED AND WITH ACCURATE INFORMATION. THE FIRM ALSO FAILED TO CONDUCT REASONABLE MONITORING AND PERIODIC TESTING TO CONFIRM THAT THE SYSTEMS IT RELIED UPON FOR SENDING AND GENERATING ACCURATE TRADE CONFIRMATIONS WERE WORKING AS INTENDED. AS A RESULT, THE FIRM DID NOT TIMELY DETECT MULTIPLE ISSUES THAT IMPACTED TRADE CONFIRMATIONS. THE FINDINGS ALSO INCLUDED THAT THE FIRM VIOLATED REGULATION T PROMULGATED BY THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM UNDER SECTION 7 OF THE EXCHANGE ACT BY EXTENDING CREDIT TO CERTAIN CUSTOMERS OF THE FIRM AND ITS INTRODUCING FIRMS. CERTAIN FIRM CUSTOMERS WITH CASH ACCOUNTS AND CERTAIN CUSTOMERS OF INTRODUCING BROKERS WITH CASH ACCOUNTS FOR WHICH THE FIRM WAS THE CLEARING BROKER SOLD SECURITIES WITHOUT PREVIOUSLY PAYING FOR THEM IN FULL. HOWEVER, THE FIRM FAILED TO WITHDRAW FROM THOSE CUSTOMERS THE PRIVILEGE OF DELAYING PAYMENT BEYOND THE TRADE DATE FOR 90 CALENDAR DAYS FOLLOWING THE DATE OF SALE OF THE SECURITY, AS REQUIRED BY REGULATION T. AS A RESULT, THE FIRM INCORRECTLY EXECUTED HUNDREDS OF TRADES IN THOSE ACCOUNTS AND FREQUENTLY SOLD THE POSITIONS AT ISSUE TO GENERATE PROCEEDS TO COVER THE PURCHASES. IN CONNECTION WITH THESE TRANSACTIONS, CUSTOMER ACCOUNTS INCURRED COMMISSIONS, MARKUPS, MARKDOWNS, AND FEES TOTALING $392,525.50, THAT THEY WOULD NOT OTHERWISE HAVE INCURRED HAD THE FIRM CANCELLED THE TRADES. IN ADDITION, INTRODUCING FIRM CUSTOMER ACCOUNTS INCURRED $1,308 IN FEES IN CONNECTION WITH THESE TRADES THAT THEY WOULD NOT HAVE INCURRED HAD THE FIRM CANCELLED THE TRADES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $375,000, ORDERED TO PAY $393,833.50 IN RESTITUTION TO CUSTOMERS, AND REQUIRED TO CERTIFY THAT IT HAS REMEDIATED THE ISSUES IDENTIFIED IN THE AWC AND IMPLEMENTED A SUPERVISORY SYSTEM, INCLUDING WSPS
Allegations: ON DECEMBER 19, 2016 CONVERGENT WEALTH ADVISORS, LLC AGREED TO A CIVIL MONETARY PENALTY WITHOUT ADMITTING OR DENYING THE FINDINGS AND CONCLUSIONS IN THE ORDER OF SETTLEMENT OF $800,000 ISSUED BY THE U.S. COMMODITY FUTURES TRADING COMMISSION ARISING OUT OF WITH THE FRAUDULENT OMISSIONS AND FALSE STATEMENTS OF AN EMPLOYEE RELATED TO THE EMPLOYEE'S OUTSIDE BUSINESS ACTIVITIES. THE EMPLOYEE IS NO LONGER WITH CONVERGENT WEALTH ADVISORS, LLC. Status: Final Sanction Detail: ON DECEMBER 19, 2016 CONVERGENT WEALTH ADVISORS, LLC AGREED TO A CIVIL MONETARY PENALTY WITHOUT ADMITTING OR DENYING THE FINDINGS AND CONCLUSIONS IN THE ORDER OF SETTLEMENT OF $800,000 ISSUED BY THE U.S. COMMODITY FUTURES TRADING COMMISSION ARISING OUT OF WITH THE FRAUDULENT OMISSIONS AND FALSE STATEMENTS OF AN EMPLOYEE RELATED TO THE EMPLOYEE'S OUTSIDE BUSINESS ACTIVITIES. THE EMPLOYEE IS NO LONGER WITH CONVERGENT WEALTH ADVISORS, LLC. Summary: ON DECEMBER 19, 2016 CONVERGENT WEALTH ADVISORS, LLC AGREED TO A CIVIL MONETARY PENALTY WITHOUT ADMITTING OR DENYING THE FINDINGS AND CONCLUSIONS IN THE ORDER OF SETTLEMENT OF $800,000 ISSUED BY THE U.S. COMMODITY FUTURES TRADING COMMISSION ARISING OUT OF WITH THE FRAUDULENT OMISSIONS AND FALSE STATEMENTS OF AN EMPLOYEE RELATED TO THE EMPLOYEE'S OUTSIDE BUSINESS ACTIVITIES. THE EMPLOYEE IS NO LONGER WITH CONVERGENT WEALTH ADVISORS, LLC.
Allegations: THE DIVISION ALLEGES THAT RBC FAILED TO ADEQUATELY SUPERVISE ITS REPRESENTATIVES WITH RESPECT TO CONCENTRATION AND SUITABILITY OF MLP AND TELECOM POSITIONS IN CERTAIN CLIENT ACCOUNTS. Status: Final Sanction Detail: $200,000 ADMINISTRATIVE FINE, REIMBURSEMENT FOR NET REALIZED LOSSES TOTALING $86,283.84, AND DISGORGEMENT TOTALING $33,983.57 FOR COMMISSIONS PAID ON PURCHASES ON MLPS. Summary: RBCCM NOTES THAT IN AGREEING TO THE ORDER RBCCM DID NOT ADMIT TO ANY SUPERVISORY DEFICIENCIES AND BELIEVE THAT THE CUSTOMERS' ACCOUNT INVESTMENTS WERE APPROPRIATELY SUPERVISED AND WERE CONSISTENT WITH THEIR STATED INVESTMENT GOALS AND FINANCIAL CIRCUMSTANCES AS WELL AS RBCCM'S POLICIES. THE CUSTOMER ACCOUNTS GENERATED SUBSTANTIAL INCOME FOR THE CUSTOMERS THAT EXCEED THE COMMISSIONS CHARGED. AFTER 50 YEARS IN THE FINANCIAL SERVICES INDUSTRY, THE REGISTERED REPRESENTATIVE VOLUNTARILY RETIRED IN 2020 HAVING BEEN THE SUBJECT OF ONLY ONE CUSTOMER COMPLAINT THROUGHOUT HIS 50 YEAR CAREER, NOR WAS HE THE SUBJECT OF ANY PRIOR REGULATORY DISCIPLINE. RBCCM AND THE REGISTERED REPRESENTATIVE SETTLED THIS MATTER IN THE INTERESTS OF CUSTOMER RELATIONS AND TO AVOID THE COSTS, UNCERTAINTIES AND DISTRACTIONS ASSOCIATED WITH LITIGATION.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTIONS 11-51-410(1)(I) AND 11-51-410(2) OF THE COLORADO REVISED STATUTES. IN ADDITION TO THE FINE, THE FIRM PAID THE STATE OF COLORADO $100,000.00 AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION $10,000.00 AS REIMBURSEMENT OF THEIR COSTS ASSOCIATED WITH THIS MATTER. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 13.1-504A OF THE VIRGINIA SECURITIES ACT AND COMMISSION RULE 21 VAC 5-20-260 B. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 12.01.08.105.01 AND SECTION 12.01.08.105.03 OF THE IDAHO ADMINISTRATIVE PROCEDURES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE SATTE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 517.12(1) OF THE FLORIDA STATUTES Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: THE COMMISSION FINDS THAT FROM AT LEAST JULY 2012 THROUGH AUGUST 2017 (THE "RELEVANT PERIOD"), RBC DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION BROKERAGE CUSTOMERS WHO MAINTAINED ACCOUNTS AT RBC ("ELIGIBLE CUSTOMERS") BY FAILING TO ASCERTAIN THAT THEY WERE ELIGIBLE FOR A LESS EXPENSIVE SHARE CLASS, AND RECOMMENDING AND SELLING THEM MORE EXPENSIVE SHARE CLASSES IN CERTAIN OPEN-END REGISTERED INVESTMENT COMPANIES ("MUTUAL FUNDS") WHEN LESS EXPENSIVE SHARE CLASSES WERE AVAILABLE. RBC DID SO WITHOUT DISCLOSING THAT IT WOULD RECEIVE GREATER COMPENSATION FROM THE ELIGIBLE CUSTOMERS' PURCHASES OF THE MORE EXPENSIVE SHARE CLASSES. ELIGIBLE CUSTOMERS DID NOT HAVE SUFFICIENT INFORMATION TO UNDERSTAND THAT RBC HAD A CONFLICT OF INTEREST RESULTING FROM COMPENSATION IT RECEIVED FOR SELLING THE MORE EXPENSIVE SHARE CLASSES. SPECIFICALLY, RBC RECOMMENDED AND SOLD THESE ELIGIBLE CUSTOMERS CLASS A SHARES WITH AN UP-FRONT SALES CHARGE, OR CLASS B OR CLASS C SHARES WITH A BACK-END CONTINGENT DEFERRED SALES CHARGE ("CDSC") (A DEFERRED SALES CHARGE THE PURCHASER PAYS IF THE PURCHASER SELLS THE SHARES DURING A SPECIFIED TIME PERIOD FOLLOWING THE PURCHASE) AND HIGHER ONGOING FEES AND EXPENSES, WHEN THESE ELIGIBLE CUSTOMERS WERE ELIGIBLE TO PURCHASE LOAD-WAIVED CLASS A AND/OR NO-LOAD CLASS R SHARES. RBC OMITTED MATERIAL INFORMATION CONCERNING ITS COMPENSATION WHEN IT RECOMMENDED THE MORE EXPENSIVE SHARE CLASSES. RBC ALSO DID NOT DISCLOSE THAT THE PURCHASE OF THE MORE EXPENSIVE SHARE CLASSES WOULD NEGATIVELY IMPACT THE OVERALL RETURN ON THE ELIGIBLE CUSTOMERS' INVESTMENTS, IN LIGHT OF THE DIFFERENT FEE STRUCTURES FOR THE DIFFERENT FUND SHARE CLASSES. IN MAKING THOSE RECOMMENDATIONS OF MORE EXPENSIVE SHARE CLASSES WHILE OMITTING MATERIAL FACTS, RBC VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. THESE PROVISIONS PROHIBIT, RESPECTIVELY, IN THE OFFER OR SALE OF SECURITIES, OBTAINING MONEY OR PROPERTY BY MEANS OF AN OMISSION TO STATE A MATERIAL FACT NECESSARY TO MAKE STATEMENTS MADE NOT MISLEADING, AND ENGAGING IN A COURSE OF BUSINESS WHICH OPERATES AS A FRAUD OR DECEIT ON THE PURCHASER. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, RBC WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. Status: Final Sanction Detail: RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. RESPONDENT IS CENSURED AND SHALL PAY DISGORGEMENT OF $2,607,676 WITH PREJUDGMENT INTEREST OF $631,331, PLUS A CIVIL MONETARY PENALTY OF $650,000. Summary: RBC HAS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. RBC WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. ACCORDINGLY, IT IS ORDERED THAT RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. RESPONDENT IS CENSURED AND SHALL PAY DISGORGEMENT OF $2,607,676 WITH PREJUDGMENT INTEREST OF $631,331, PLUS A CIVIL MONETARY PENALTY OF $650,000.
Allegations: FAILURE TO MAKE AND KEEP BOOKS, RECORDS, AND ACCOUNTS, WHICH, IN REASONABLE DETAIL, ACCURATELY AND FAIRLY REFLECT THE TRANSACTIONS AND DISPOSITIONS OF THE ASSETS OF THE ISSUER. FAILURE TO DEVISE AND MAINTAIN A SYSTEM OF INTERNAL ACCOUNT CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSACTIONS ARE RECORDED TO PERMIT PREPARATION OF FINANCIAL STATEMENTS IN CONFORMITY WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF THE ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS AND IMPOSING A CEASE-AND-DESIST ORDER.
Allegations: ROYAL BANK OF CANADA IS ALLEGED TO HAVE VIOLATED SECTION 4C(A) OF THE COMMODITY EXCHANGE ACT, AND COMMISSION REGULATION 1.38(A), BY KNOWINGLY ENTERING INTO PURCHASES AND SALES OF SINGLE STOCK FUTURES AND NARROW-BASED INDEX FUTURES CONTRACTS OPPOSITE ITS SUBSIDIARIES WITH THE EXPRESS OR IMPLIED UNDERSTANDING THAT THE POSITION WOULD BE OFFSET OR DELIVERED OPPOSITE EACH OTHER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED SECTION 4C(A) OF THE COMMODITY EXCHANGE ACT, AND COMMISSION REGULATION 1.38(A), BY KNOWINGLY ENTERING INTO PURCHASES AND SALES OF SINGLE STOCK FUTURES AND NARROW-BASED INDEX FUTURES CONTRACTS OPPOSITE ITS SUBSIDIARIES WITH THE EXPRESS OR IMPLIED UNDERSTANDING THAT THE POSITIONS WOULD BE OFFSET OR DELIVERED OPPOSITE EACH OTHER; THEREFORE THE FIRM IS FINED $35,000,000.00 AND IS PERMANENTLY RESTRAINED, ENJOINED, AND PROHIBITED FROM DIRECTLY OR INDIRECTLY ENTERING INTO OR CONFIRMING THE EXECUTION OF A TRANSACTION THAT IS, IS OF THE CHARACTER OF, OR IS COMMONLY KNOWN TO THE TRADE AS A WASH SALE, OR IS A FICTITIOUS SALE. THE FIRM IS ALSO PERMANENTLY RESTRAINED, ENJOINED, AND PROHIBITED FROM DIRECTLY OR INDIRECTLY EXECUTING ANY NONCOMPETITIVE TRANSACTION.
Allegations: FAILURE TO MAKE AND KEEP BOOKS, RECORDS, AND ACCOUNTS, WHICH, IN REASONABLE DETAIL, ACCURATELY AND FAIRLY REFLECT THE TRANSACTIONS AND DISPOSITIONS OF THE ASSETS OF THE ISSUER. FAILURE TO DEVISE AND MAINTAIN A SYSTEM OF INTERNAL ACCOUNT CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSACTIONS ARE RECORDED TO PERMIT PREPARATION OF FINANCIAL STATEMENTS IN CONFORMITY WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF THE ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS AND IMPOSING A CEASE-AND-DESIST ORDER. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF THE ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS AND IMPOSING A CEASE-AND-DESIST ORDER.
Allegations: IT IS ALLEGED THAT THE FIRM ENGAGED IN AT LEAST 385 NON-COMPETITIVE, FICTITIOUS WASH EXCHANGE-FOR-PHYSICAL TRANSACTIONS. IT IS FURTHER ALLEGED THAT THE FIRM FAILED TO MEET SUPERVISORY OBLIGATIONS, RESULTING IN ADDITIONAL VIOLATIONS INCLUDE FAILURES TO PREPARE AND TIMELY FILE QUARTERLY RISK EXPOSURE REPORTS, FAILURES TO DISCLOSE MATERIAL NON-COMPLIANCE ISSUES, AND FAILURES TO MAINTAIN AND TIMELY PRODUCE REQUIRED RECORDS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $5,000,000.00
Allegations: IT IS ALLEGED THAT FROM 2014-2017, RBC CAPITAL MARKETS LLC ENGAGED IN IMPROPER CONDUCT IN CONNECTION WITH THE ALLOCATION, PURCHASE AND SALE OF CERTAIN NEW ISSUE MUNICIPAL BOND OFFERINGS IN VIOLATION OF INTERNAL PROCEDURES, AS WELL AS MSRB AND SEC RULES. Status: Final Sanction Detail: DISGORGEMENT OF $552,440 PREJUDGMENT INTEREST OF $160,886.97 CIVIL MONEY PENALTY IN THE AMOUNT OF $150,000 ($37,500 TO THE MSRB AND $112,500 TO THE GENERAL FUND OF THE UNITED STATES TREASURY) Summary: RBC SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION ACCEPTED AND PUBLISHED ON SEPTEMBER 17, 2021. THE SEC ORDER FOUND THAT AS A RESULT OF THE NEGLIGENT CONDUCT AND ITS WILLFUL VIOLATIONS OF MSRB RULES G-11(K), G-17 AND G-27, RBC WILLFULLY VIOLATED SECTION 15B(C)(1) OF THE EXCHANGE ACT. THE SEC ORDER FOUND THAT RBC ALSO CAUSED VIOLATIONS OF SECTION 15(A)(1) OF THE EXCHANGE ACT. THE SEC ORDERED THAT THE RBC CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 15(A)(1) AND 15B(C)(1) OF THE EXCHANGE ACT; IS CENSURED; SHALL PAY DISGORGEMENT OF $552,440, PREJUDGMENT INTEREST OF $160,886.97 ON DISGORGEMENT, AND A CIVIL MONEY PENALTY OF $150,000 TO THE COMMISSION. THE PAYMENTS WERE MADE BY RBC ON SEPTEMBER 22, 2021.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA AND MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB) RULES WITH RESPECT TO REPRESENTATIVES' RECOMMENDATIONS OF HIGH-YIELD CORPORATE AND MUNICIPAL BONDS. THE FINDINGS STATED THAT THE FIRM'S POLICIES AND PROCEDURES DID NOT SUFFICIENTLY ADDRESS THE SUITABILITY FACTORS THAT REPRESENTATIVES SHOULD CONSIDER BEFORE RECOMMENDING HIGH-YIELD BONDS. THE PROCEDURES DID NOT INCLUDE GUIDANCE AS TO HOW MUCH OF A CUSTOMER'S PORTFOLIO SHOULD BE IN VESTED IN THESE PRODUCTS BASED ON THE CUSTOMER'S INVESTOR PROFILE. THE FINDINGS ALSO STATED THAT THE FIRM USED TWO AUTOMATED ALERTS, A DAILY ALERT AND A MONTHLY ALERT, TO IDENTIFY POTENTIALLY UNSUITABLE CONCENTRATIONS OF HIGH-YIELD BONDS IN CUSTOMER ACCOUNTS, BUT NEITHER ALERT FUNCTIONED AS INTENDED. AFTER THE FIRM CHANGED THE TAX CODING OF MUNICIPAL BONDS IN ITS SYSTEM, IT INADVERTENTLY DISABLED THE ABILITY OF THE HIGH-YIELD BOND ALERTS TO IDENTIFY POTENTIAL CONCENTRATION ISSUES FOR FURTHER ASSESSMENT. THE FIRM DID NOT DETECT THAT THESE ALERTS WERE NOT WORKING, IN PART, BECAUSE THE FIRM DID NOT TEST ITS ALERTS. ONCE THE FIRM FIRST DISCOVERED THAT THE ALERTS WERE DEFECTIVE, IT DID NOT FIX THE ALERTS UNTIL TEN MONTHS LATER. DURING THIS TEN-MONTH PERIOD, THE FIRM DID NOT ADOPT ALTERNATIVE MEASURES TO IDENTIFY POTENTIALLY UNSUITABLE CONCENTRATIONS IN HIGH-YIELD BONDS. THE FIRM ALSO DID NOT NOTIFY SUPERVISORS THAT THE ALERTS WERE NOT WORKING AS INTENDED AND THAT THEY COULD NOT RELY ON THE ALERTS FOR THEIR REVIEW. AS A RESULT, THE FIRM FAILED TO REVIEW MORE THAN 100 CUSTOMER ACCOUNTS WITH CONSERVATIVE PROFILES FOR POTENTIALLY UNSUITABLE CONCENTRATIONS OF HIGH-YIELD BONDS. IN A NUMBER OF THOSE ACCOUNTS, THE HOLDINGS IN HIGH-YIELD BONDS WERE MORE THAN SIX TIMES THE THRESHOLDS SET BY THE FIRM. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $550,000, AND ORDERED TO PAY $456,155, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS.
Allegations: THE COMMISSION FINDS THAT FROM AT LEAST JULY 2012 THROUGH AUGUST 2017 (THE "RELEVANT PERIOD"), RBC DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION BROKERAGE CUSTOMERS WHO MAINTAINED ACCOUNTS AT RBC ("ELIGIBLE CUSTOMERS") BY FAILING TO ASCERTAIN THAT THEY WERE ELIGIBLE FOR A LESS EXPENSIVE SHARE CLASS, AND RECOMMENDING AND SELLING THEM MORE EXPENSIVE SHARE CLASSES IN CERTAIN OPEN-END REGISTERED INVESTMENT COMPANIES ("MUTUAL FUNDS") WHEN LESS EXPENSIVE SHARE CLASSES WERE AVAILABLE. RBC DID SO WITHOUT DISCLOSING THAT IT WOULD RECEIVE GREATER COMPENSATION FROM THE ELIGIBLE CUSTOMERS' PURCHASES OF THE MORE EXPENSIVE SHARE CLASSES. ELIGIBLE CUSTOMERS DID NOT HAVE SUFFICIENT INFORMATION TO UNDERSTAND THAT RBC HAD A CONFLICT OF INTEREST RESULTING FROM COMPENSATION IT RECEIVED FOR SELLING THE MORE EXPENSIVE SHARE CLASSES. SPECIFICALLY, RBC RECOMMENDED AND SOLD THESE ELIGIBLE CUSTOMERS CLASS A SHARES WITH AN UP-FRONT SALES CHARGE, OR CLASS B OR CLASS C SHARES WITH A BACK-END CONTINGENT DEFERRED SALES CHARGE ("CDSC") (A DEFERRED SALES CHARGE THE PURCHASER PAYS IF THE PURCHASER SELLS THE SHARES DURING A SPECIFIED TIME PERIOD FOLLOWING THE PURCHASE) AND HIGHER ONGOING FEES AND EXPENSES, WHEN THESE ELIGIBLE CUSTOMERS WERE ELIGIBLE TO PURCHASE LOADWAIVED CLASS A AND/OR NO-LOAD CLASS R SHARES. RBC OMITTED MATERIAL INFORMATION CONCERNING ITS COMPENSATION WHEN IT RECOMMENDED THE MORE EXPENSIVE SHARE CLASSES. RBC ALSO DID NOT DISCLOSE THAT THE PURCHASE OF THE MORE EXPENSIVE SHARE CLASSES WOULD NEGATIVELY IMPACT THE OVERALL RETURN ON THE ELIGIBLE CUSTOMERS' INVESTMENTS, IN LIGHT OF THE DIFFERENT FEE STRUCTURES FOR THE DIFFERENT FUND SHARE CLASSES. IN MAKING THOSE RECOMMENDATIONS OF MORE EXPENSIVE SHARE CLASSES WHILE OMITTING MATERIAL FACTS, RBC VIOLATED SECTIONS 17(A)(2) AND 17(A) (3) OF THE SECURITIES ACT. THESE PROVISIONS PROHIBIT, RESPECTIVELY, IN THE OFFER OR SALE OF SECURITIES, OBTAINING MONEY OR PROPERTY BY MEANS OF AN OMISSION TO STATE A MATERIAL FACT NECESSARY TO MAKE STATEMENTS MADE NOT MISLEADING, AND ENGAGING IN A COURSE OF BUSINESS WHICH OPERATES AS A FRAUD OR DECEIT ON THE PURCHASER. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, RBC WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. Status: Final Sanction Detail: RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. RESPONDENT IS CENSURED AND SHALL PAY DISGORGEMENT OF $2,607,676 WITH PREJUDGMENT INTEREST OF $631,331, PLUS A CIVIL MONETARY PENALTY OF $650,000. Summary: RBC HAS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. RBC WILLFULLY VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. ACCORDINGLY, IT IS ORDERED THAT RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. RESPONDENT IS CENSURED AND SHALL PAY DISGORGEMENT OF $2,607,676 WITH PREJUDGMENT INTEREST OF $631,331, PLUS A CIVIL MONETARY PENALTY OF $650,000.
Allegations: SEC RULE 10B-10, SEC RULE 203(B)(1) OF REGULATION SHO, FINRA RULES 2010, 6730(B)(1), 6730(C)(5), 6730(C)(6), 6730(D)(4)(D), 6760(C), 7450, NASD RULE 2320, MSRB RULES G-17, G-30(A), G-34 - RBC CAPITAL MARKETS, LLC IN TRANSACTIONS IN CORPORATE BONDS FOR OR WITH CUSTOMERS, FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICES TO ITS CUSTOMERS WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. THE FIRM PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM A CUSTOMER AND/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTIONS AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTIONS, THE FACT THAT THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTION. THE FIRM FAILED TO TRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS) AND TRANSMITTED TO OATS EXECUTION REPORTS THAT FAILED TO REFLECT PARTIAL EXECUTIONS OF AN ORDER. THE FIRM FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS ITS CORRECT CAPACITY IN TRANSACTIONS; FAILED TO DISCLOSE "DETAILS AVAILABLE UPON REQUEST" FOR THE COMPENSATION, WHICH IS STATED IN A SINGLE AMOUNT ON CUSTOMER CONFIRMATIONS; AND DISCLOSED THAT A "COMMISSION" WAS CHARGED FOR AN ORDER FILLED IN A PRINCIPAL CAPACITY ON THE CUSTOMER CONFIRMATION. THE FIRM ACCEPTED SHORT SALE ORDERS IN AN EQUITY SECURITY FROM ANOTHER PERSON, OR EFFECTED A SHORT SALE IN AN EQUITY SECURITY FOR ITS OWN ACCOUNT, WITHOUT BORROWING THE SECURITY OR ENTERED INTO A BONA FIDE ARRANGEMENT TO BORROW THE SECURITY; OR HAVING REASONABLE GROUNDS TO BELIEVE THAT THE SECURITY COULD BE BORROWED SO THAT IT COULD BE DELIVERED ON THE DATE DELIVERY IS DUE; AND DOCUMENTING COMPLIANCE WITH SEC RULE 203(B)(1) OF REGULATION SHO. THE FIRM FAILED TO SUBMIT INFORMATION REGARDING THE RESULT OF AN AUCTION RATE SECURITY (ARS) AND INTEREST RATE RESET (VARIABLE RATE DEMAND OBLIGATION, OR VRDO) TO THE MSRB'S SHORT-TERM OBLIGATORY RATE TRANSPARENCY (SHORT) SYSTEM WITHIN THE TIME REQUIREMENTS PRESCRIBED BY MSRB RULE G-34. THE FIRM FAILED TO SUBMIT ACCURATE INFORMATION REGARDING THE RESULT OF AN INTEREST RATE (VRDO) RESET IN NUMEROUS INSTANCES TO THE MSRB'S SHORT SYSTEM; THE FIRM FAILED TO SUBMIT AN ACCURATE RATE RESET DATE TO THE SHORT SYSTEM. THE FIRM FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES IT WAS REQUIRED TO REPORT; FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES; FAILED TO ACCURATELY REPORT TO TRACE THE MARKET IDENTIFIER FOR P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES; AND FAILED TO SUBMIT A REPORT TO TRACE IDENTIFYING THE CORRECT EXECUTION DATE FOR SOME P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES. THE FIRM, AS MANAGING UNDERWRITER/SECURITIZER, FAILED TO REPORT NEW ISSUE OFFERINGS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS TO FINRA IN ACCORDANCE WITH THE REQUIREMENTS OF FINRA RULE 6760(C). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $97,500, OF WHICH $42,500 IS FOR MSRB RULE VIOLATIONS.
Allegations: NASDAQ OMX BX RULE 4755 - RBC CAPITAL MARKETS, LLC ENTERED ORDERS INTO THE NASDAQ OMX BX MARKET CENTER THAT FAILED TO CORRECTLY INDICATE WHETHER THE ORDERS WERE A BUY, SHORT SALE OR LONG SALE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $7,500.
Allegations: THE CHICAGO BOARD OF TRADE BUSINESS CONDUCT COMMITTEE (PANEL) ALLEGES THAT ON NOVEMBER 4, 2010, THE FIRM EXECUTED AN INTER-COMMODITY SPREAD BLOCK TRADE IN THE CBOT U.S. TREASURY NOTE FUTURES CONTRACTS, AND DID NOT REPORT THE TRADE TO THE EXCHANGE WITHIN THE APPLICABLE TIME LIMIT FOLLOWING EXECUTION. DURING THE SAME TIME FRAME, THE FIRM MISREPORTED TO THE EXCHANGE THE ACCURATE TIME OF EXECUTION OF THE BLOCK TRADE. THE PANEL ALLEGES THAT AS A RESULT, THE FIRM VIOLATED CBOT LEGACY RULE 526.F AND RULE 432.1. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING ANY RULE VIOLATIONS, THE FIRM CONSENTED TO PAYING A FINE OF $15,000.00. THE FIRM SENT PAYMENT TO THE CHICAGO MERCANTILE EXCHANGE ON JULY 5, 2013.
Allegations: IT IS ALLEGED THAT THE FIRM VIOLATED NASDAQ RULE 4611(A)(6): THE FIRM FAILED TO POPULATE 194,219 ORDERS IT ROUTED TO NASDAQ WITH THE CORRECT CAPACITY CODE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED AND FINED $12,500.00.
Allegations: FINRA RULES 2010, 6730(B), 6730(C)(6), NASD INTERPRETATIVE MATERIAL 2110-2, MSRB RULES G-17, G-30(A) - IT IS ALLEGED THAT RBC CAPITAL MARKETS, LLC FAILED TO EXECUTE CUSTOMER LIMIT ORDERS AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. IT IS ALLEGED THAT THE FIRM FAILED TO CONTEMPORANEOUSLY EXECUTE CUSTOMER LIMIT ORDERS AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT, AND FAILED TO EXECUTE SUCH ORDERS AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. IT IS ALLEGED THAT THE FIRM PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM A CUSTOMER AND/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTION AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTION, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTION, THE FACT THAT THE BROKER, DEALER, OR MUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTION. IT IS ALLEGED THAT THE FIRM FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) TRANSACTIONS FOR A PARTICULAR MARKET PARTICIPANT IDENTIFIER (MPID) IN TRACE-ELIGIBLE SECURITIZED PRODUCTS. IT IS ALLEGED THAT THE FIRM FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS. THE FIRM REPORTED INTER-DEALER TRANSACTIONS FOR ITS MPID AS CUSTOMER TRADES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $50,000.00, COMPRISED OF $10,000 FOR THE LIMIT ORDER PROTECTION VIOLATIONS, $15,000 FOR THE FAIR PRICING VIOLATIONS OF MSRB RULES; AND $25,000 FOR THE TRACE REPORTING VIOLATIONS.
Allegations: IT IS ALLEGED THAT THE FIRM TRANSMITTED TO ORDER AUDIT TRAIL SYSTEM ("OATS") 174 REPORTS FOR WHICH IT DID NOT HAVE AN OATS REPORTING RESPONSIBILITY. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT TRANSMITTED REPORTS TO THE ORDER AUDIT TRAIL SYSTEM ("OATS") FOR WHICH IT DID NOT HAVE AN OATS REPORTING RESPONSIBILITY; THEREFORE, THE FIRM IS CENSURED AND FINED $12,500.00.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO CONTEMPORANEOUSLY OR PARTIALLY EXECUTE 27 CUSTOMER LIMIT ORDERS IN 15 OVER-THE-COUNTER (OTC) SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO CONTEMPORANEOUSLY OR PARTIALLY EXECUTE 27 CUSTOMER LIMIT ORDERS IN 15 OVER-THE-COUNTER (OTC) SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER; THEREFORE, THE FIRM IS FINED $5,000.00 AND MUST PAY RESTITUTION IN THE AMOUNT OF $1,605.95, PLUS INTEREST TO THE CUSTOMER(S).
Allegations: IT IS ALLEGED THAT BETWEEN 2008 AND 2012, THE FIRM FAILED TO HAVE IN PLACE SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS AND ITS INTERNAL GUIDELINES CONCERNING THE SUITABILITY OF REVERSE CONVERTIBLES THEREFORE VIOLATING NASD RULES 3010(A), 2310, 2110, AND FINRA RULE 2010. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,000,000 AND ORDERED TO PAY $433,898.10, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE TO THE ENTRY OF FINDINGS THAT BETWEEN 2008 AND 2012, THE FIRM FAILED TO HAVE IN PLACE SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS AND ITS INTERNAL GUIDELINES CONCERNING THE SUITABILITY OF REVERSE CONVERTIBLES THEREFORE VIOLATING NASD RULES 3010(A), 2310, 2110, AND FINRA RULE 2010.
Allegations: THE FIRM SELF-REPORTED AN ORDER AUDIT TRAIL SYSTEM ("OATS") REPORTING SYSTEM LOGIC CHANGE IMPLEMENTED IN JANUARY 2012 MAY HAVE CAUSED THE FIRM'S SYSTEM TO CEASE REPORTING REPORTABLE ORDER EVENTS ("ROES"), WHICH AFFECTED APPROXIMATELY 500 MILLION ROES, THEREFORE POTENTIALLY VIOLATING NASD RULE 3010, FINRA RULE 2010, AND FINRA RULE 7450. AFTER IMPLEMENTING A SYSTEM FIX, THE FIRM ENGAGED AN EXTERNAL CONSULTING FIRM TO ASSESS AND EVALUATE THE EFFICACY OF ITS CORRECTIVE ACTIONS. ADDITIONAL OATS REPORTING ISSUES WERE IDENTIFIED AND SUBMITTED VIA SELF-REPORT IN MARCH 2014. Status: Final Sanction Detail: $325,000.00 FOR THE RULE 7450 VIOLATIONS AND $125,000.00 FOR THE SUPERVISION VIOLATIONS Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO TRANSMIT TO OATS 1,183,844,292 ROES OVER A PERIOD CONSTITUTING APPROXIMATELY 28 MONTHS, THEREFORE VIOLATING FINRA RULE 7450, FINRA RULE 2010, AND NASD RULE 3010.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ON 13 OCCASIONS, THE FIRM VIOLATED NYSE RULE 92(A) BY ENTERING A PROPRIETARY ORDER TO BUY OR SELL AN NYSE-LISTED SECURITY WHILE KNOWINGLY IN POSSESSION OF A CUSTOMER ORDER TO BUY OR SELL SUCH SECURITY THAT COULD BE EXECUTED AT THE SAME PRICE, AND WHICH PROPRIETARY ORDER THEN TRADED ALONG WITH, OR AHEAD OF, THE CUSTOMER ORDER, OR TRADED OUTSIDE OF THE CUSTOMER'S CONSENT PARAMETERS. THE FINDINGS STATED THAT ON TWO OCCASIONS, THE FIRM VIOLATED NYSE RULE 2010 BY FAILING TO DOCUMENT CUSTOMER CONSENT TO THE ALLOCATION SPLIT AS REQUIRED BY NYSE RULE 92(B). THE FINDINGS ALSO STATED THAT THE FIRM VIOLATED NYSE RULE 342 IN THAT IT FAILED TO REASONABLY SUPERVISE AND IMPLEMENT ADEQUATE CONTROLS, INCLUDING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH CERTAIN NYSE RULES AND POLICIES, INCLUDING WITH RESPECT TO TRANSMITTING AND EXECUTING PROPRIETARY AND AGENCY TRADES ON THE NYSE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $80,000.00
Allegations: IT IS ALLEGED THAT RBC CAPITAL MARKETS, LLC ("THE FIRM") FAILED TO AMEND, OR TIMELY AMEND, THE FORMS U4 FOR REGISTERED REPRESENTATIVES TO REPORT UNSATISFIED TAX LIENS AND CIVIL JUDGMENTS. THE FINDINGS STATE THAT THE FIRM RECEIVED WAGE GARNISHMENT ORDERS FROM COURTS AND TAX AUTHORITIES (INCLUDING THE IRS) RESULTING FROM TAX LEVIES, CIVIL JUDGMENTS, AND SIMILAR ACTIONS, FOR REGISTERED REPRESENTATIVES. THE FIRM HOWEVER IS ALLEGED TO HAVE FAILED TO CONSISTENTLY CONDUCT A SUFFICIENT INQUIRY TO DETERMINE IF THE UNDERLYING EVENT TRIGGERING EACH GARNISHMENT ORDER INVOLVED AN EVENT THAT SHOULD HAVE BEEN REPORTED ON THE AFFECTED INDIVIDUAL'S FORM U4. THE FINDINGS ALSO ALLEGED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WSPS REASONABLY DESIGNED TO ENSURE THAT IT DISCLOSED REPORTABLE UNSATISFIED LIENS AND JUDGMENTS OF REGISTERED REPRESENTATIVES ON FORMS U4, IN INSTANCES IN WHICH A GARNISHMENT NOTICE WAS SENT TO THE FIRM. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $300,000, AND REQUIRED TO PROVIDE TO FINRA A WRITTEN CERTIFICATION THAT THE FIRM'S SYSTEMS, POLICIES AND PROCEDURES REGARDING THE REVIEW AND DISCLOSURE OF REPORTABLE UNSATISFIED AND JUDGMENTS OF REGISTERED REPRESENTATIVES ON FORMS U4, IN INSTANCES WHERE A GARNISHMENT NOTICE IS RECEIVED BY THE FIRM, ARE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH ARTICLE V, SECTION 2(C) OF FINRA'S BY-LAWS. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO AMEND, OR TIMELY AMEND, THE FORMS U4 FOR REGISTERED REPRESENTATIVES TO REPORT UNSATISFIED TAX LIENS AND CIVIL JUDGMENTS BETWEEN JANUART 1, 2013 THROUGH JUNE 30, 2015.
Allegations: THE FIRM IS ALLEGED TO HAVE FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS). THE FINDINGS STATED THAT SPECIFICALLY, THE FIRM FAILED TO APPLY SALES CHARGE DISCOUNTS TO 4,399 ELIGIBLE UIT PURCHASES RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES OF APPROXIMATELY $502,088.88. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WSPS REASONABLY DESIGNED TO ENSURE CUSTOMERS RECEIVED SALES CHARGE DISCOUNTS ON ALL ELIGIBLE UIT PURCHASES. ALTHOUGH THE FIRM HAD WSPS RELATED TO UIT SALES CHARGE DISCOUNTS, THE FIRM FAILED TO EFFECTIVELY INFORM AND TRAIN REGISTERED REPRESENTATIVES AND SUPERVISORS TO ENSURE THAT REPRESENTATIVES FOLLOWED THESE PROCEDURES AND IDENTIFIED AND APPLIED ALL APPLICABLE DISCOUNTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $225,000.00, AND ORDERED TO PAY $502,088.88, PLUS INTEREST IN RESTITUTION TO CUSTOMERS. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS).
Allegations: IT IS ALLEGED THAT THE FIRM FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) S1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES WITHIN THE TIME REQUIRED BY FINRA RULE 6730 AND FAILED TO REPORT TO TRACE TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS AND TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN THE TIME REQUIRED BY FINRA RULE 6730. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $40,000.00. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) S1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES WITHIN THE TIME REQUIRED BY FINRA RULE 6730 AND FAILED TO REPORT TRACE TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS AND TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN THE TIME REQUIRED BY FINRA RULE 6730.
Allegations: IT IS ALLEGED THAT RBC CAPITAL MARKEST, LLC TRANSMITTED EXECUTION OR COMBINED ORDER/EXECUTION REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA WHICH PREVENTED THE OATS SYSTEM FROM MATCHING THE REPORTS TO THE RELATED TRADE REPORT IN A FINRA TRADE REPORTING FACILITY (TRF). THE FINDINGS ALSO ALLEGED THAT THE FIRM TRANSMITTED TO OATS EXECUTION OR COMBINED ORDER/EXECUTION REPORTS THAT IT WAS NOT REQUIRED TO REPORT. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $15,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT TRANSMITTED EXECUTION OR COMBINED ORDER/EXECUTION REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA WHICH PREVENTED THE OATS SYSTEM FROM MATCHING THE REPORTS TO THE RELATED TRADE REPORT IN A FINRA TRADE REPORTING FACILITY (TRF). THE FIRM ALSO CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRM TRANSMITTED TO OATS EXECUTION OR COMBINED ORDER/EXECUTION REPORTS THAT IT WAS NOT REQUIRED TO REPORT.
Allegations: IT IS ALLEGED THAT RBC CAPITAL MARKETS, LLC VIOLATED FINRA RULE 2010 AND 2081 WHEN MEDIATING A DISPUTE WITH A CLAIMANT ON OCTOBER, 2014 BY INCLUDING A "A TERM OR CONDITION" THAT "CLAIMANTS WILL NOT OPPOSE EXPUNGEMENT" ON A SETTLEMENT AGREEMENT. ADDITIONALLY, IT IS ALLEGED THAT THE FIRM VIOLATED NASD RULE 3010(A) AND FINRA RULES 3110(A) AND 2010 BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH FINRA RULE 2081. THE FIRM IS ALSO ALLEGED TO HAVE FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS) WHICH SHOULD HAVE INCLUDED A DESIGNATED SUPERVISOR RESPONSIBLE FOR CONDUCTING SUPERVISION REGARDING COMPLIANCE WITH RULE 2081, A DESCRIPTION OF THE REVIEW PROCESS THAT SUCH SUPERVISOR WOULD TAKE TO REVIEW FOR COMPLIANCE, THE FREQUENCY OF SUCH REVIEW, HOW SUCH REVIEWS SHOULD BE DOCUMENTED, AS WELL AS WHAT THE FIRM SHOULD DO WHEN DEFICIENCIES IN COMPLIANCE ARE IDENTIFIED, LEADING TO A VIOLATION OF FINRA RULES 3110(B) AND 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT CONDITIONED SETTLEMENT IN A FINRA DISPUTE RESOLUTION ARBITRATION BY INCLUDING A PROVISION IN THE SETTLEMENT AGREEMENT THAT THE FIRM'S FORMER CUSTOMERS AGREE NOT TO OBJECT TO, OR OPPOSE ANY EFFORTS TO SEEK, EXPUNGEMENT OF ALL REFERENCE TO THE ARBITRATION OR CUSTOMER DISPUTE INFORMATION FROM THE CRD SYSTEM. THE FINDINGS STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH FINRA RULE 2081 BY FAILING TO HAVE AN ADEQUATE SYSTEM TO ADDRESS AND TAKE SUFFICIENT STEPS TO ACHIEVE COMPLIANCE WITH THE PROHIBITION IN THE RULE ON CONDITIONING OR SEEKING TO CONDITION SETTLEMENT OF A DISPUTE WITH A CUSTOMER ON THE CUSTOMER'S AGREEMENT TO CONSENT TO, OR NOT TO OPPOSE, EXPUNGEMENT; FAILING TO ENACT PROCEDURES TO ENSURE AND DOCUMENT THAT THE REQUIREMENTS OF FINRA RULE 2081 WERE COMMUNICATED TO RELEVANT STAFF; AND FAILING TO DESIGNATE A SUPERVISOR RESPONSIBLE FOR ENFORCING THE FIRM'S PROCEDURES REGARDING FINRA RULE 2081 AND FOR ESTABLISHING, MAINTAINING OR TESTING A REASONABLE SUPERVISORY SYSTEM FOR COMPLIANCE WITH FINRA RULE 2081. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS) REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULE 2081, SUCH AS A DESIGNATED SUPERVISOR RESPONSIBLE FOR CONDUCTING SUPERVISION REGARDING COMPLIANCE WITH RULE 2081; A DESCRIPTION OF THE REVIEW PROCESS THAT SUCH A SUPERVISOR WOULD TAKE TO REVIEW FOR COMPLIANCE; THE FREQUENCY OF SUCH REVIEWS; HOW SUCH REVIEWS WILL BE DOCUMENTED; OR WHAT THE FIRM WILL DO WHEN IT IDENTIFIES DEFICIENCIES IN COMPLIANCE.
Allegations: IT IS ALLEGED THAT RBC CAPITAL MARKETS, LLC AND RBC CAPITAL MARKETS ARBITRAGE, S.A. (BOTH NOTED TOGETHER AS "RBC" HEREAFTER) FAILED TO RETAIN ELECTRONIC RECORDS IN WORM ("WRITE ONCE, READ MANY") FORMAT. RBC IS ALSO ALLEGED TO HAVE FAILED TO IMPLEMENT AN AUDIT SYSTEM REGARDING THE INPUTTING OF RECORDS IN ELECTRONIC STORAGE MEDIA. RBC IS ALLEGED TO HAVE FAILED TO OBTAIN AN ATTESTATION FROM THEIR THIRD PARTY VENDOR. RBC'S SUPERVISORY SYSTEM WAS ALLEGEDLY NOT REASONABLY DESIGNED TO ENFORCE SPECIFIC PROCEDURES CONCERNING STORAGE OF ELECTRONIC BROKER-DEALER RECORDS IN WORM FORMAT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRMS CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE THE FIRMS ARE CENSURED AND FINED $3,500,000.00, TO BE PAID JOINTLY AND SEVERALLY, AND UNDERTAKE TO REVIEW RELEVANT POLICIES AND PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ON ONE TRADE, IT HAD MODIFIED AN EXPIRING EXERCISE DECLARATION (EED) SUBMISSION AFTER THE 5:30 P.M. (ET) CUT-OFF TIME, WITHOUT AN ALLOWABLE EXCEPTION AND BASED ON AFTER-HOURS TRADING INFORMATION, IN VIOLATION OF BOX RULE 9000, AND ALSO HAD RELATED SUPERVISORY DEFICIENCIES. THE FINDINGS STATED THAT THIS CUT-OFF TIME WAS ESTABLISHED TO PREVENT OPTION HOLDERS FROM WAITING FOR MATERIAL INFORMATION TO DETERMINE IF THE UNDERLYING PRICE WILL VARY SUBSTANTIALLY FROM THE CLOSING PRICE ON EXPIRATION, UNFAIRLY DISADVANTAGING THE SHORT OPTION HOLDERS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ENSURE THAT ANY EXERCISE INSTRUCTIONS SUBMITTED AFTER THE APPLICABLE CUT-OFF TIME ARE THE RESULT OF A GOOD FAITH ERROR OR OTHER APPLICABLE EXCEPTION, AND ARE NOT BASED ON MATERIAL INFORMATION, INCLUDING AFTER-HOURS TRADING ACTIVITY, RELEASED AFTER THE CUT-OFF TIME. AS A RESULT, A FIRM TRADER SUBMITTED THIS PARTICULAR MODIFIED EED TO THE FIRM'S OPERATIONS DEPARTMENT BASED ON AFTER-HOURS TRADING AFTER THE 5:30 P.M. CUT-OFF TIME, AND THE OPERATIONS STAFF SUBMITTED THE MODIFIED EED TO THE FIRM'S CLEARING FIRM WITHOUT COMPLETELY UNDERSTANDING THE RULES GOVERNING EED SUBMISSIONS. IN ADDITION, THE FIRM FAILED TO HAVE ADEQUATE SUPERVISORY POLICIES AND SYSTEMS, INCLUDING WRITTEN SUPERVISORY PROCEDURES ("WSPS"), REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH BOX RULES RELATING TO THE OBLIGATIONS OF A BOX PARTICIPANT WHEN EXERCISING OPTIONS CONTRACTS. SPECIFICALLY, THE FIRM'S WSPS LACKED REFERENCES TO THE IDENTITY OF THE INDIVIDUAL RESPONSIBLE FOR SUPERVISION; THE SUPERVISORY STEPS AND REVIEWS TO BE TAKEN BY THE DESIGNATED SUPERVISOR; THE FREQUENCY OF SUCH REVIEWS; AND HOW SUCH REVIEWS SHOULD BE DOCUMENTED. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $45,000, AND ORDERED TO PAY $4,000 IN DISGORGEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT INAPPROPRIATELY USED OPTIONS CLEARING CORPORATION (OCC) ADJUSTMENTS TO CREATE A POSITION WITHOUT TRADING ON AN EXCHANGE AND SUBSEQUENTLY INAPPROPRIATELY USED OCC ADJUSTMENTS TO CLOSE OUT A POSITION WITHOUT TRADING ON AN EXCHANGE. THE FINDINGS STATED THAT FURTHER, IT WAS DETERMINED THAT THE FIRM THROUGH 273 INTERNAL ENTRIES TRIGGERED OCC ADJUSTMENTS IN A TOTAL OF 107 SYMBOLS FOR A TOTAL OF 203,478 CONTRACTS, WHICH CREATED LONG AND SHORT POSITIONS AT THE OCC WITHOUT TRADING ON AN EXCHANGE, AND RESULTED IN INFLATED OPEN INTEREST. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO FOLLOW ITS WRITTEN SUPERVISORY PROCEDURES RELATED TO THE PROPER USE OF OCC ADJUSTMENTS. THE FIRM FURTHER FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND BOX RULES, CONCERNING OCC ADJUSTMENTS, AS THE FIRM DID NOT HAVE ANY PROCEDURES IN PLACE TO VERIFY THAT OCC ADJUSTMENTS WERE NOT ASSOCIATED WITH INTERNAL ENTRIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $150,000.
Allegations: THE FIRM VIOLATED SECURITIES EXCHANGE ACT OF 1934 RULE 15C3-5(C)(1)(II) (MARKET ACCESS RULE) BY FAILING TO ESTABLISH, DOCUMENT, AND MAINTAIN RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME; AND NYSE ARCA EQUITIES RULES 6.18(B) AND (C), BY FAILING TO ESTABLISH AND MAINTAIN ADEQUATE SUPERVISORY SYSTEMS AND WRITTEN PROCEDURES THAT WERE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH RULE 15C3-5. Status: Final Sanction Detail: THE FIRM AND NYSE ARCA, INC. ENTERED INTO AN OFFER OF SETTLEMENT AND CONSENT FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS REFERRED TO IN THE OFFER OF SETTLEMENT. THE HEARING OFFICER ACCEPTS THE OFFER OF SETTLEMENT AND CONSENT AND ISSUES THIS DECISION IN ACCORDANCE WITH NYSE ARCA RULES. THE FIRM WAS CENSURED, FINED $25,000, AND SHALL UNDERTAKE TO ADDRESS ANY REMAINING MARKET ACCESS RULE DEFICIENCIES DESCRIBED IN THIS DECISION TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RULES AND REGULATIONS CITED HEREIN PERTAINING TO MARKET ACCESS REQUIREMENTS. Summary: IN DETERMINING TO RESOLVE THIS MATTER ON THE BASIS SET FORTH HEREIN, ENFORCEMENT TOOK INTO CONSIDERATION THAT THE FIRM COOPERATED IN NYSE REGULATION'S INVESTIGATION AND MODIFIED CONTROLS RELATING TO THE ENTRY OF ERRONEOUS ORDERS, INCLUDING PRE-MARKET ORDERS, AND MODIFIED ITS PROCESS FOR HANDLING THE SUBMISSION OF REQUESTS FOR REVIEW PURSUANT TO NYSE ARCA RULE 7.10-E DURING PRE-MARKET HOURS. THE FIRM HAS UNDERTAKEN TO ADDRESS ANY REMAINING DEFICIENCIES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, IT WAS ALLEGED THAT THE FIRM VIOLATED CFE RULES 401A, 412B(A) AND 609. ON NUMEROUS DATES FROM MAY 2016 THROUGH MAY 2017, DUE TO A THIRD PARTY SERVICE PROVIDER PROGRAMMING ERROR AND A FAILURE TO FOLLOW ITS OWN WRITTEN PROCEDURES, THE FIRM REPORTED INACCURATE OPEN INTEREST IN VARIOUS VX WEEKLY CONTRACTS, RESULTING IN OVERSTATEMENTS OF OVERALL EXCHANGE OPEN INTEREST. IN ADDITION, ON NUMEROUS DATES BETWEEN DECEMBER 2016 AND AUGUST 2017, DUE TO A THIRD PARTY SERVICE PROVIDER INPUTTING INCORRECT REPORTABLE LEVELS AND A FAILURE TO FOLLOW ITS OWN WRITTEN PROCEDURES, THE FIRM FAILED TO REPORT LARGE TRADER POSITIONS IN VARIOUS VX WEEKLY CONTRACTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS FINED $50,000.00.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH FINRA THAT FOUND THAT FROM MARCH 2008 TO JUNE 2016, THE FIRM FAILED TO DELIVER PROSPECTUSES TO CUSTOMERS IN CONNECTION WITH APPROXIMATELY 165,000 ETF AND ETN PURCHASES AND AT LEAST HUNDREDS OF THOUSANDS OF MUTUAL FUND PURCHASES. THE AWC ALSO FOUND THAT THE FIRM FAILED TO DESIGN, IMPLEMENT, AND ENFORCE A REASONABLE SUPERVISORY SYSTEM, CONTROLS AND PROCEDURES TO COMPLY WITH THE PROSPECTUS DELIVERY RULES FOR ETFS, ETNS AND MUTUAL FUNDS. RBC FAILED TO HAVE IN PLACE A SYSTEM TO SUPERVISE ITS MANUAL CODING OF SOFTWARE TO TRIGGER THE DELIVERY OF AN ETF OR ETN PROSPECTUS. ALTHOUGH THE FIRM INSTITUTED A SURVEILLANCE PROCEDURE TO IDENTIFY PROSPECTUS DELIVERY CODING ISSUES AFTER DISCOVERING CERTAIN CODING ERRORS, RBC FAILED TO PROPERLY IMPLEMENT THAT PROCESS. WITH RESPECT TO MUTUAL FUNDS, RBC RELIED UPON THIRD-PARTY SOFTWARE TO AUTOMATICALLY CODE MUTUAL FUND PURCHASES FOR PROSPECTUS DELIVERY. DUE TO A DESIGN FLAW, THE SOFTWARE DID NOT CODE CERTAIN MUTUAL FUND PURCHASES FOR PROSPECTUS DELIVERY AS REQUIRED. RBC'S SUPERVISORY SYSTEM INCLUDED A WRITTEN PROCEDURE TO DESIGNATE AN EMPLOYEE TO CONDUCT PERIODIC SUPERVISORY REVIEWS TO DETERMINE WHETHER MUTUAL FUNDS WERE PROPERLY CODED FOR PROSPECTUS DELIVERY. THE FIRM DID NOT ASSIGN THESE SUPERVISORY DUTIES. THEREFORE, THESE DUTIES WERE NOT PERFORMED DURING THE RELEVANT PERIOD. AS A RESULT, ISSUES WITH THE CODING WAS NOT DISCOVERED UNTIL FINRA'S INVESTIGATION IN THIS MATTER. RBC FAILED TO PERFORM AN AUDIT, REVIEW OR OTHER TESTING TO VERIFY THAT IT WAS DELIVERING PROSPECTUSES. THE FIRM ALSO DID NOT TEST THE SYSTEM MODIFICATIONS AND SURVEILLANCE PROCEDURES PUT IN PLACE TO ADDRESS THE ETF AND ETN CODING ERRORS IT HAD PREVIOUSLY DISCOVERED. IN DETERMINING THE APPROPRIATE SANCTION IN THIS MATTER, FINRA TOOK INTO ACCOUNT (I) THE FIRM'S PRIOR DISCIPLINARY HISTORY; (II) THE MORE THAN EIGHT YEARS OVER WHICH THE VIOLATIONS OCCURRED; (III) THE EXTENT OF THE SUPERVISORY DEFICIENCIES; (IV) THE LACK OF SUPERVISORY CONTROLS AND TESTING; (V) THAT THE FIRM VOLUNTARILY UNDERTOOK A COMPREHENSIVE REVIEW OF ITS ETF AND ETN PROSPECTUS DELIVERY PROCESSES UPON DISCOVERY OF THE ISSUES AND DISCLOSED ITS FINDINGS FROM THAT EXERCISE TO FINRA; (VI) THE FIRM'S EXTENSIVE TESTING OF ITS NON-ETF/ETN PROSPECTUS DELIVERY PROCESSES TO ASSIST FINRA IN UNDERSTANDING THE SCOPE OF THE ISSUE; AND (VII) CERTAIN FIRM CORRECTIVE ACTIONS CITED IN THE SETTLEMENT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $2.9 MILLION AND AGREED TO AN UNDERTAKING TO CERTIFY THAT IT HAS ESTABLISHED AND IMPLEMENTED A SUPERVISORY SYSTEM AND WRITTEN PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULES AND THE FEDERAL SECURITIES LAWS APPLICABLE TO PROSPECTUS DELIVERY.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM (I) FAILED TO RECORD ACCURATE ORDER RECEIPT TIMES FOR TEN OF THE TWENTY SAMPLED MANUAL CUSTOMER OPTION ORDERS REVIEWED THAT WERE ROUTED TO AND EXECUTED ON CBOE; (II) FAILED TO RECORD ACCURATE ORDER TRANSMISSION TIMES FOR EIGHT OF THE TWENTY SAMPLED MANUAL CUSTOMER OPTIONS ORDERS REVIEWED THAT WERE ROUTED TO AND EXECUTED ON CBOE; (III) FAILED TO RECORD AN ACCURATE ORDER RECEIPT TIME FOR ONE OF TWENTY-ONE SAMPLED MANUAL CUSTOMER OPTION ORDERS THAT WERE ROUTED TO AND EXECUTED (OR PARTIALLY EXECUTED) ON CBOE; AND (IV) FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES, AND A SYSTEM FOR APPLYING SUCH PROCEDURES, REASONABLY DESIGNED TO PREVENT AND DETECT VIOLATIONS OF CBOE RULE 15.1; AND SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, IN CONNECTION WITH THE CONDUCT DESCRIBED. VIOLATION OF EXCHANGE RULES 4.2, 4.24 AND 15.1; SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED AND RULE 17A-3, THEREUNDER. SANCTION: A CENSURE AND A MONETARY FINE OF $27,000. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $27,000
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' RECOMMENDATIONS TO CUSTOMERS TO PURCHASE PARTICULAR SHARE CLASSES OF 529 COLLEGE SAVINGS PLANS. THE FINDINGS STATED THAT THE FIRM DID NOT PROVIDE ADEQUATE GUIDANCE TO REPRESENTATIVES REGARDING THE IMPORTANCE OF CONSIDERING SHARE-CLASS DIFFERENCES WHEN RECOMMENDING 529 PLANS. THE FIRM HAD NO PROCEDURES REQUIRING SUPERVISORS TO REVIEW 529 PLAN SHARE-CLASS RECOMMENDATIONS FOR SUITABILITY. THE FIRM UPDATED ITS PROCEDURES TO INCLUDE SUCH A REQUIREMENT, BUT THE UPDATED PROCEDURES FAILED TO ADEQUATELY INSTRUCT SUPERVISORS TO CONSIDER EITHER THE AGE OF THE BENEFICIARY OR THE NUMBER OF YEARS UNTIL EXPECTED WITHDRAWALS, BOTH CRITICAL FACTORS IN DETERMINING THE SUITABILITY OF THE RECOMMENDED SHARE CLASS. ALSO, THE FIRM DID NOT CONSISTENTLY PROVIDE SUPERVISORS WITH THE INFORMATION NECESSARY TO REVIEW THE SUITABILITY OF 529 PLAN SHARE-CLASS RECOMMENDATIONS. LATER, THE FIRM ISSUED A COMPANY-WIDE COMPLIANCE ALERT THAT PROVIDED GUIDANCE TO REPRESENTATIVES REGARDING 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FIRM THEN UPDATED ITS SUPERVISORY SYSTEMS AND PROCEDURES WITH RESPECT TO 529 SHARE-CLASS RECOMMENDATIONS. AMONG OTHER THINGS, THE FIRM INSTRUCTED SUPERVISORS TO CONSIDER THE AGE OF THE BENEFICIARY WHEN ASSESSING THE SUITABILITY OF A REPRESENTATIVE'S 529 SHARE-CLASS RECOMMENDATION. THE FIRM HAS AGREED TO PAY RESTITUTION AND INTEREST RELATING TO THE SALE OF CLASS C SHARES TO CERTAIN 529 PLAN CUSTOMERS IN THE ESTIMATED AMOUNT OF $839,803. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY $685,520, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS THAT INCURRED EXCESS FEES DUE TO THEIR INVESTMENTS IN CLASS C SHARES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS MARKET ACCESS RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO MANAGE THE FINANCIAL AND REGULATORY RISKS OF THE FIRM'S MARKET ACCESS BUSINESS ON THE EXCHANGE. THE FINDINGS STATED THAT THE FIRM FAILED TO IMPLEMENT MARKET ACCESS CONTROLS TO ITS CONVERTIBLES DESK'S ORDER FLOW ROUTED TO THE MARKET. THEREFORE, THE FIRM'S FINANCIAL AND REGULATORY RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES FOR THE CONVERTIBLES DESK WERE NOT REASONABLY DESIGNED TO ADDRESS THE RISKS PRESENTED BY THE DESK'S MARKET ACCESS BUSINESS ACTIVITY, IN VIOLATION OF SECURITIES EXCHANGE ACT RULE 15C3-5(B), (C)(1), AND (C)(2). THE FINDINGS ALSO STATED THAT THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES FOR ITS CASH, ELECTRONIC SALES AND TRADING, AND EXCHANGE-TRADED FUND LEAD MARKET MAKING DESKS WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF RULE 15C3-5(B) AND (C)(1)(II). THE FINDINGS ALSO INCLUDED THAT THE FIRM'S MARKET ACCESS RULE SUPERVISORY SYSTEM AND WSPS WERE UNREASONABLE. AS A RESULT OF THE DEFICIENCIES DESCRIBED ABOVE, THE FIRM VIOLATED NASDAQ RULES 3010 AND 2010A. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED A TOTAL OF $350,000, OF WHICH $145,000 IS PAYABLE TO NASDAQ WITH THE REMAINDER PAYABLE TO OTHER EXCHANGES, AND SHALL UNDERTAKE TO REVISE THE ITS SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED NYSE RULE 3110(A) AND (B) (SUPERVISION) BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO DETECT AND PREVENT ERRORS IN MARKET ON CLOSE (MOC) ORDERS. THE FINDINGS STATED THAT ON APRIL 24, 2020, THE FIRM ENTERED A MOC BASKET ORDER ON BEHALF OF ITS U.S. BROKER-DEALER AFFILIATE THAT MISTAKENLY INCLUDED APPROXIMATELY 300,000 SHARES ACROSS 476 EXCHANGE TRADED FUND (ETF) COMPONENT SECURITIES. THE FIRM'S AFFILIATE BROKER-DEALER UTILIZES THE FIRM'S NYSE MEMBERSHIP AND CONNECTIVITY IN ORDER TO GAIN ACCESS TO THE NYSE EXCHANGE. IN CONNECTION WITH THEIR ETF MARKET MAKING RESPONSIBILITIES, TRADERS AT THE FIRM'S AFFILIATE MAY ROUTE MOC BASKET ORDERS TO HEDGE THEIR EXISTING EXPOSURE. ON THE REVIEW DATE, A TRADER MISTAKENLY INCLUDED AN ETF THAT THE FIRM DID NOT NEED TO HEDGE AGAINST WHEN MANUALLY ADDING COMPONENTS INTO AN EXCEL MACRO SCRIPT THAT IS USED TO IDENTIFY ALL UNDERLYING COMPONENT SECURITIES THAT NEEDED TO BE ENTERED FOR THAT DAY'S ORDER. AS A RESULT, THE FIRM ROUTED TO THE NYSE A BASKET CONTAINING INCORRECT ETF COMPONENT SECURITIES WHICH THE FIRM DID NOT INTEND TO EXECUTE DURING THE CLOSING AUCTION. THE DESK RESPONSIBLE FOR GENERATING THE MOC BASKET DID NOT RECOGNIZE THAT THE ETF COMPONENT SECURITIES WERE ERRONEOUSLY INCLUDED BEFORE ENTERING THE ORDER AND ROUTING IT TO MARKET. AFTER THE 3:50 PM CUT-OFF TIME SPECIFIED IN NYSE RULE 7.35B, BUT PRIOR TO THE CLOSING CROSS, THE DESK RECOGNIZED ITS ERROR AND CANCELLED THE BASKET. THE FIRM FAILED TO DETECT AND PREVENT THE ERROR IN THE UNDERLYING MOC BASKET. ALTHOUGH THE FIRM HAD THE ABILITY TO REVIEW THE COMPONENTS INPUT INTO THE FIRM'S EXCEL SCRIPT AND THE GENERATED MOC BASKET FOR ERRORS BEFORE RELEASING IT TO MARKET, THEY NONETHELESS WERE NOT ABLE TO CATCH THIS ERROR IN TIME, AND THERE WAS NO OTHER CHECK IN PLACE TO ALERT THE FIRM TO THE MANUAL ERROR. THE FIRM ALSO FAILED TO MAINTAIN UPDATED WRITTEN SUPERVISORY PROCEDURES (WSPS) THAT ACCURATELY REFLECTED THE APPROPRIATE CUT-OFF TIME OF 3:50 PM FOR THE CANCELLATION OF MOC ORDERS; INSTEAD, THE FIRM'S WSPS REFLECTED AN OUTDATED CUT-OFF TIME OF 3:45 PM. IN ADDITION, THE FIRM FAILED TO ENABLE APPROPRIATE RISK MANAGEMENT CONTROLS TO ENSURE AGAINST IMPROPER MOC ORDER CANCELLATIONS AFTER THE PRESCRIBED CUT-OFF TIME. DURING THE FIRM'S MIGRATION TO NYSE'S PILLAR PLATFORM, ITS SOFT WARNING AND HARD BLOCK FUNCTIONALITIES, WHICH WOULD ALERT THE FIRM TO POTENTIALLY IMPROPER MOC ORDER CANCELLATIONS, BECAME DISABLED FOR MORE THAN SIX MONTHS. FURTHER, THE FIRM FAILED TO DETECT ERRORS IN ITS SURVEILLANCE SYSTEM THAT PREVENTED THE FIRM FROM BEING ALERTED TO MOC ORDERS CANCELED AFTER THE APPLICABLE CUT-OFF TIME. DUE TO ERRORS IN AN OVERLAY FILE USED TO GENERATE ALERTS FOR THE FIRM'S SURVEILLANCE OF MOC ORDERS CANCELED AFTER THE APPLICABLE CUT-OFF TIME, WHICH WAS CAUSED BY AN INTERNAL SYSTEM UPDATE IN OCTOBER 2018, THE FIRM'S SURVEILLANCE SYSTEM WAS UNABLE TO GENERATE ALERTS FOR POTENTIALLY IMPROPER MOC CANCELLATIONS UNTIL THE ERROR WAS DISCOVERED AND CORRECTED IN JULY 2020, AND THE CANCELLATION OF THE MOC BASKET WAS NOT IDENTIFIED AS A POTENTIAL EXCEPTION FOR FURTHER REVIEW BY SUPERVISION DURING THE FIRM'S T+1 REVIEW PROCESS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $10,000.
Allegations: A PANEL OF THE NYMEX BUSINESS CONDUCT COMMITTEE ("BCC PANEL") FOUND THAT ON MULTIPLE OCCASIONS DURING MARCH 2020, RBC SUBMITTED BLOCK TRADES IN CRUDE OIL AND NATURAL GAS FUTURES TO THE EXCHANGE OUTSIDE THE REPORTING TIME REQUIREMENTS, SUBMITTED INACCURATE BLOCK TRADE EXECUTION TIMES TO THE EXCHANGE ON ONE OR MORE OCCASION, AND ALSO FAILED TO PROPERLY ADVISE AND TRAIN ITS BROKERS AS TO RELEVANT EXCHANGE RULES AND MARKET REGULATION ADVISORY NOTICES ("MRANS") IN A MANNER SUFFICIENT TO ENSURE COMPLIANCE WITH THE EXCHANGE'S BLOCK TRADE REPORTING RULES. Status: Final Sanction Detail: IN ACCORDANCE WITH THE SETTLEMENT OFFER, THE BCC PANEL ORDERED RBCCM TO PAY A FINE TO THE EXCHANGE IN THE AMOUNT OF $45,000. THE PROCEEDS FROM FINES AND DISGORGEMENT HAVE BEEN ASSIGNED TO THE CHICAGO MERCANTILE EXCHANGE TRUST.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT, AND INACCURATELY REPORTED, OVER-THE-COUNTER (OTC) OPTIONS POSITIONS TO THE LARGE OPTIONS POSITIONS REPORTING SYSTEM (LOPR). THE FINDINGS STATED THAT THESE VIOLATIONS WERE CAUSED BY ERRORS IN THE REPORTING LOGIC OF THE FIRM'S INTERNAL RISK SYSTEM THAT IT USED TO COMPILE AND SUBMIT OTC LOPR REPORTS AND IT REMAINED UNDETECTED FOR YEARS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO COMPLY WITH ITS LOPR REPORTING OBLIGATIONS. THE FIRM USED SUPERVISORY SYSTEMS TO DETECT INACCURATE LOPR REPORTS. THOSE SYSTEMS WERE NOT DESIGNED TO DETECT, AND IN FACT DID NOT DETECT, INSTANCES WHERE THE FIRM FAILED TO REPORT OTC OPTIONS POSITIONS TO THE LOPR. FURTHER, THE FIRM HAD NO SYSTEM TO REVIEW WHETHER CONTRACT QUANTITIES WERE REPORTED ACCURATELY. IN ADDITION, THE FIRM'S WSPS IDENTIFIED FIRM PRINCIPALS WHO WERE RESPONSIBLE FOR CONDUCTING SUPERVISORY REVIEWS OF THE FIRM'S LOPR REPORTS, BUT THESE PROCEDURES DID NOT PROVIDE ANY GUIDANCE OR SET FORTH A PROCESS FOR HOW THESE PRINCIPALS SHOULD DETECT INSTANCES WHERE THE FIRM FAILED TO REPORT OTC OPTIONS POSITIONS TO THE LOPR OR TO CONFIRM THE ACCURACY OF REPORTED CONTRACT QUANTITIES. ULTIMATELY, THE FIRM IMPLEMENTED MULTIPLE NEW SURVEILLANCE REPORTS AND PROCEDURES TO DETERMINE WHETHER ITS REPORTABLE OTC POSITIONS HAD BEEN REPORTED AND WERE ACCURATE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $2,600,000.
Allegations: FROM IN OR ABOUT AUGUST 2015 THROUGH NOVEMBER 2020 (THE "REVIEW PERIOD"), THE FIRM ENTERED APPROXIMATELY 36,122,470 ORDERS ON BZX MARKED WITH THE PRINCIPAL CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE AGENCY 3 CAPACITY CODE. ADDITIONALLY, DURING THE REVIEW PERIOD, THE FIRM ENTERED APPROXIMATELY 13,068,439 ORDERS ON BZX MARKED WITH THE AGENCY CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE PRINCIPAL CAPACITY CODE. AS A RESULT, THE FIRM'S BOOKS AND RECORDS CONTAINED INACCURATE INFORMATION AS TO THE CORRECT CAPACITY ON EACH ORDER. Status: Final Sanction Detail: THE FIRM HAS BEEN CENSURED AND PAID A MONETARY FINE IN THE AMOUNT OF $25,500.
Allegations: FROM IN OR ABOUT AUGUST 2015 THROUGH NOVEMBER 2020 (THE "REVIEW PERIOD"), THE FIRM ENTERED APPROXIMATELY 217,214 ORDERS ON BYX MARKED WITH THE AGENCY CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE PRINCIPAL CAPACITY CODE. AS A RESULT, THE FIRM'S BOOKS AND RECORDS CONTAINED INACCURATE INFORMATION AS TO THE CORRECT CAPACITY ON EACH ORDER. Status: Final Sanction Detail: THE FIRM HAS BEEN CENSURED AND PAID A MONETARY FINE IN THE AMOUNT OF $8,500.
Allegations: FROM IN OR ABOUT AUG 2015 THRU NOV 2020("REVIEW PERIOD"),THE FIRM ENTERED APPROX.35,507,601 ORDERS ON EDGX MARKED WITH THE PRIN CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE AGENCY CAPACITY CODE.ADDITIONALLY, DURING THE REVIEW PERIOD,THE FIRM ENTERED APPROX.13,039,931 ORDERS ON EDGX MARKED WITH THE AGENCY CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE PRIN CAPACITY CODE.AS A RESULT,THE FIRM'S BOOKS AND RECORDS CONTAINED INACCURATE INFORMATION AS TO THE CORRECT CAPACITY ON EACH ORDER. Status: Final Sanction Detail: THE FIRM HAS BEEN CENSURED AND PAID A MONETARY FINE IN THE AMOUNT OF $25,500.
Allegations: FROM IN OR ABOUT AUG 2015 - NOV 2020(THE "REVIEW PERIOD"),THE FIRM ENTERED APPROX 31,079,479 ORDERS ON EDGA MARKED WITH THE PRIN CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE AGENCY CAPACITY CODE.ADDITIONALLY,DURING THE REVIEW PERIOD, THE FIRM ENTERED APPROX 10,293,131 ORDERS ON EDGA MARKED WITH THE AGENCY CAPACITY CODE WHEN THEY SHOULD HAVE BEEN MARKED WITH THE PRIN CAPACITY CODE.AS A RESULT,THE FIRM'S BOOKS AND RECORDS CONTAINED INACCURATE INFORMATION AS TO THE CORRECT CAPACITY ON EACH ORDER. Status: Final Sanction Detail: THE FIRM HAS BEEN CENSURED AND PAID A MONETARY FINE IN THE AMOUNT OF $25,500.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO HAVE IN PLACE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO TIMELY REVIEW PAPER STATEMENTS FROM EMPLOYEES' OUTSIDE BROKERAGE ACCOUNTS. THE FINDINGS STATED THAT THE FIRM HAD NO PRESCRIBED TIMEFRAME TO TRACK, RECONCILE, AND REVIEW STATEMENTS. DUE TO THE MANUAL NATURE OF THE PAPER STATEMENT REVIEW PROCESS, PERSONNEL TURNOVER, AND OUTDATED TECHNOLOGY SYSTEMS, THE FIRM HAD A BACKLOG OF APPROXIMATELY 8,950 UNREVIEWED ACCOUNT STATEMENTS. IN ADDITION, THE FIRM MANUALLY TRACKED RECEIPT OF PAPER STATEMENTS, HAD NO SYSTEM IN PLACE TO NOTIFY THE FIRM OR EMPLOYEES THAT STATEMENTS WERE MISSING, AND HAD NO PROCEDURE FOR FOLLOWING UP ON MISSING STATEMENTS. IN SOME INSTANCES, THE FIRM DID NOT RECEIVE PAPER STATEMENTS FOR REVIEW. IN ADDITION, THE FIRM'S PROCESS TO REVIEW PAPER STATEMENTS WAS NOT REASONABLY DESIGNED. AS A RESULT, THE FIRM FAILED TO TIMELY OR REASONABLY MONITOR THOUSANDS OF EMPLOYEE OUTSIDE BROKERAGE ACCOUNT STATEMENTS FOR COMPLIANCE WITH THE FIRM'S TRADING RESTRICTIONS, INCLUDING PRE-CLEARANCE, HOLDING PERIOD, AND WATCH AND RESTRICTED LIST POLICIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $360,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ("RBCCM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED: (I) NYSE AMERICAN RULE 7.33E BY SUBMITTING OVER 151,000 PRINCIPAL ORDERS INCORRECTLY MARKED AS AGENCY ORDERS TO NYSE AMERICAN FROM OCTOBER 2019 THROUGH MARCH 2020; AND (II) NYSE AMERICAN RULES 3110(A) AND 3110(B) BY FAILING TO HAVE A REASONABLY DESIGNED SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, TO COMPLY WITH ITS CAPACITY CODE OBLIGATIONS DURING THE PERIOD FROM AUGUST 2015 THROUGH NOVEMBER 2020. DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, THE FIRM INCORRECTLY ENTERED OVER 151,000 ORDERS INTO THE NYSE AMERICAN MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DUE TO A CODING ERROR IMPACTING A FIRM TRADING PLATFORM (THE "OMS") THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. FROM AUGUST 2015 THROUGH NOVEMBER 2020, RBCCM DID NOT HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES IN PLACE THAT WERE REASONABLY DESIGNED TO CONFIRM THAT CLIENT ORDERS WERE CODED WITH ACCURATE CAPACITIES AND THUS ENSURE COMPLIANCE WITH NYSE AMERICAN RULES REQUIRING THAT ORDERS SUBMITTED TO THE EXCHANGE ARE MARKED WITH ACCURATE AGENCY OR PRINCIPAL CAPACITY CODES. SPECIFICALLY, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, A FIELD WITHIN THE FIRM'S SURVEILLANCE REPORT COVERING THE OMS WAS NOT CORRECTLY POPULATED, RESULTING IN "NULL" VALUES THAT PREVENTED THE GENERATION OF ALERTS FOR INCORRECT CAPACITY CODES. THE FIRM'S SURVEILLANCE REVIEW WAS THEREFORE NOT FUNCTIONING PROPERLY FOR A PERIOD OF NEARLY SIX MONTHS. ADDITIONALLY, FROM AUGUST 2015 THROUGH NOVEMBER 2020, THE FIRM'S SURVEILLANCE REVIEW FAILED TO INCLUDE DATA FROM ANOTHER OF ITS TRADING PLATFORMS, RESULTING IN A FAILURE TO DETECT ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF MORE THAN FIVE YEARS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $10,000 (RESOLVED SIMULTANEOUSLY WITH SIMILAR MATTERS FOR A TOTAL FINE OF $650,000).
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ("RBCCM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, IT INCORRECTLY ENTERED 2,384 ORDERS INTO THE NYSE CHICAGO MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DUE TO A CODING ERROR IMPACTING A FIRM TRADING PLATFORM (THE "OMS") THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. THE FIRM'S SURVEILLANCE REVIEW FAILED TO DETECT THAT THESE ORDERS WERE BEING ENTERED WITH AN INCORRECT CAPACITY CODE BECAUSE IT WAS NOT FUNCTIONING PROPERLY. SPECIFICALLY, A FIELD WITHIN THE SURVEILLANCE REPORT COVERING THE OMS WAS NOT CORRECTLY POPULATED, RESULTING IN "NULL" VALUES THAT PREVENTED THE GENERATION OF ALERTS FOR INCORRECT CAPACITY CODES. ADDITIONALLY, FROM AUGUST 2015 THROUGH NOVEMBER 2020, THE FIRM'S SURVEILLANCE REVIEW FAILED TO INCLUDE DATA FROM ANOTHER OF THE FIRM'S TRADING PLATFORMS, RESULTING IN A FAILURE TO DETECT ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF MORE THAN FIVE YEARS. AS DISCUSSED ABOVE, A CODING ERROR IMPACTING THE OMS RESULTED IN THE FIRM INCORRECTLY ENTERING 2,384 ORDERS INTO THE NYSE CHICAGO MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020. ACCORDINGLY, THE FIRM VIOLATED NYSE CHICAGO RULE 7.33. FROM AUGUST 2015 THROUGH NOVEMBER 2020, RBCCM DID NOT HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES IN PLACE THAT WERE REASONABLY DESIGNED TO CONFIRM THAT CLIENT ORDERS WERE CODED WITH ACCURATE CAPACITIES AND THUS ENSURE COMPLIANCE WITH NYSE CHICAGO RULES REQUIRING THAT ORDERS SUBMITTED TO THE EXCHANGE ARE MARKED WITH ACCURATE CAPACITY CODES. THE FIRM'S SUPERVISORY REVIEW DESIGNED TO ENSURE COMPLIANCE WITH ITS ORDER MARKING OBLIGATIONS WAS NOT FUNCTIONING PROPERLY FOR A PERIOD OF NEARLY SIX MONTHS FROM OCTOBER 2019 THROUGH MARCH 2020, RESULTING IN A FAILURE TO DETECT THAT ORDERS SUBMITTED TO THE EXCHANGE WERE BEING ENTERED WITH INCORRECT CAPACITY CODES. ADDITIONALLY, THE FIRM'S SUPERVISORY REVIEW FAILED TO INCLUDE DATA FROM ANOTHER FIRM TRADING PLATFORM, RESULTING IN A FAILURE TO DETECT ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF MORE THAN FIVE YEARS. ACCORDINGLY, THE FIRM VIOLATED NYSE CHICAGO ARTICLE 6, RULES 5(A) AND 5(C). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $5,000 (RESOLVED SIMULTANEOUSLY FOR SIMILAR MATTERS WITH OTHER EXCHANGES FOR A TOTAL FINE OF $650,000.)
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ("RBCCM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD BETWEEN AUGUST 2015 AND NOVEMBER 2020 (THE "RELEVANT PERIOD"), IT VIOLATED: (I) NYSE ARCA RULE 7.33-E1 BY SUBMITTING OVER 665,000 AGENCY ORDERS INCORRECTLY MARKED AS PRINCIPAL ORDERS AND OVER 12.1 MILLION PRINCIPAL ORDERS INCORRECTLY MARKED AS AGENCY ORDERS TO NYSE ARCA; AND (II) NYSE ARCA RULES 11.18(B) AND 11.18(C) BY FAILING TO HAVE A REASONABLY DESIGNED SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, TO COMPLY WITH ITS CAPACITY CODE OBLIGATIONS. DURING THE RELEVANT PERIOD, TWO DISTINCT ISSUES INVOLVING TWO DIFFERENT FIRM TRADING PLATFORMS RESULTED IN RBCCM INCORRECTLY MARKING CERTAIN PRINCIPAL ORDERS AS AGENCY AND CERTAIN AGENCY ORDERS AS PRINCIPAL. FIRST, DURING THE PERIOD FROM AUGUST 2015 THROUGH NOVEMBER 2020, A FAILURE TO UPDATE RELEVANT ACCOUNT TYPE CODE SETTINGS ON A FIRM TRADING PLATFORM ("OMS #1") RESULTED IN THE FIRM INCORRECTLY ENTERING: (I) OVER 11.7 MILLION ORDERS INTO THE NYSE ARCA MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE; AND (II) OVER 665,000 ORDERS INTO THE NYSE ARCA MARKETPLACE MARKED WITH THE "PRINCIPAL" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "AGENCY" CAPACITY CODE. SECOND, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, THE FIRM INCORRECTLY ENTERED OVER 398,000 ORDERS INTO THE NYSE ARCA MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DUE TO A CODING ERROR IMPACTING A DIFFERENT FIRM TRADING PLATFORM ("OMS #2") THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. DURING THE RELEVANT PERIOD, RBCCM DID NOT HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES IN PLACE THAT WERE REASONABLY DESIGNED TO CONFIRM THAT CLIENT ORDERS WERE CODED WITH ACCURATE CAPACITIES AND THUS ENSURE COMPLIANCE WITH NYSE ARCA RULES REQUIRING THAT ORDERS SUBMITTED TO NYSE ARCA ARE MARKED WITH ACCURATE AGENCY OR PRINCIPAL CAPACITY CODES. SPECIFICALLY, THE FIRM'S SURVEILLANCE REVIEW FAILED TO INCLUDE DATA FROM OMS #1 DURING THE ENTIRETY OF THE RELEVANT PERIOD, RESULTING IN A FAILURE TO DETECT THE ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF MORE THAN FIVE YEARS. ADDITIONALLY, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, A FIELD WITHIN THE FIRM'S SURVEILLANCE REPORT COVERING OMS #2 WAS NOT CORRECTLY POPULATED, RESULTING IN "NULL" VALUES THAT PREVENTED THE GENERATION OF ALERTS FOR INCORRECT CAPACITY CODES. THE FIRM'S SURVEILLANCE REVIEW WAS THEREFORE NOT FUNCTIONING PROPERLY FOR A PERIOD OF NEARLY SIX MONTHS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $75,000 (RESOLVED SIMULTANEOUSLY FOR SIMILAR MATTERS WITH OTHER EXCHANGES FOR A TOTAL FINE OF $650,000).
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ("RBCCM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED: (I) NYSE NATIONAL RULE 7.33 BY SUBMITTING OVER 401,000 PRINCIPAL ORDERS INCORRECTLY MARKED AS AGENCY ORDERS TO NYSE NATIONAL FROM OCTOBER 2019 THROUGH MARCH 2020; AND (II) NYSE NATIONAL RULES 11.3.2 AND 11.5.1 BY FAILING TO HAVE A REASONABLY DESIGNED SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, TO COMPLY WITH ITS CAPACITY CODE OBLIGATIONS DURING THE PERIOD FROM MAY 2018 THROUGH NOVEMBER 2020. DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, THE FIRM INCORRECTLY ENTERED OVER 401,000 ORDERS INTO THE NYSE NATIONAL MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DUE TO A CODING ERROR IMPACTING A FIRM TRADING PLATFORM (THE "OMS") THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. FROM MAY 2018 THROUGH NOVEMBER 2020, RBCCM DID NOT HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES IN PLACE THAT WERE REASONABLY DESIGNED TO CONFIRM THAT CLIENT ORDERS WERE CODED WITH ACCURATE CAPACITIES AND THUS ENSURE COMPLIANCE WITH NYSE AMERICAN RULES REQUIRING THAT ORDERS SUBMITTED TO THE EXCHANGE ARE MARKED WITH ACCURATE AGENCY OR PRINCIPAL CAPACITY CODES. SPECIFICALLY, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, A FIELD WITHIN THE FIRM'S SURVEILLANCE REPORT COVERING THE OMS WAS NOT CORRECTLY POPULATED, RESULTING IN "NULL" VALUES THAT PREVENTED THE GENERATION OF ALERTS FOR INCORRECT CAPACITY CODES. THE FIRM'S SURVEILLANCE REVIEW WAS THEREFORE NOT FUNCTIONING PROPERLY FOR A PERIOD OF NEARLY SIX MONTHS. ADDITIONALLY, FROM MAY 2018 THROUGH NOVEMBER 2020, THE FIRM'S SURVEILLANCE REVIEW FAILED TO INCLUDE DATA FROM ANOTHER OF ITS TRADING PLATFORMS, RESULTING IN A FAILURE TO DETECT ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF SEVERAL YEARS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $15,000 (RESOLVED SIMULTANEOUSLY FOR SIMILAR MATTERS WITH OTHER EXCHANGES FOR A TOTAL FINE OF $650,000).
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM ("RBCCM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD BETWEEN AUGUST 2015 AND NOVEMBER 2020 (THE "RELEVANT PERIOD"), IT VIOLATED: (I) NYSE RULE 132 (FOR CERTAIN ORDERS SENT BEFORE JULY 27, 2017) AND (II) NYSE RULE 7.33 (FOR CERTAIN ORDERS SENT ON OR AFTER JULY 27, 2017) BY SUBMITTING OVER 80.1 MILLION AGENCY ORDERS INCORRECTLY MARKED AS PRINCIPAL ORDERS AND APPROXIMATELY 333,000 PRINCIPAL ORDERS INCORRECTLY MARKED AS AGENCY ORDERS TO THE NEW YORK STOCK EXCHANGE LLC (THE "NYSE" OR THE "EXCHANGE"); AND (III) NYSE RULES 3110(A) AND 3110(B) BY FAILING TO HAVE A REASONABLY DESIGNED SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, TO COMPLY WITH ITS CAPACITY CODE OBLIGATIONS. DURING THE RELEVANT PERIOD, TWO DISTINCT ISSUES INVOLVING TWO DIFFERENT FIRM TRADING PLATFORMS RESULTED IN RBCCM INCORRECTLY MARKING CERTAIN PRINCIPAL ORDERS AS AGENCY AND CERTAIN AGENCY ORDERS AS PRINCIPAL. FIRST, DURING THE PERIOD FROM AUGUST 2015 THROUGH NOVEMBER 2020, A FAILURE TO UPDATE RELEVANT ACCOUNT TYPE CODE SETTINGS ON A FIRM TRADING PLATFORM ("OMS #1") RESULTED IN THE FIRM INCORRECTLY ENTERING: (I) OVER 88,000 ORDERS INTO THE NYSE MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE; AND (II) OVER 80.1 MILLION ORDERS INTO THE NYSE MARKETPLACE MARKED WITH THE "PRINCIPAL" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "AGENCY" CAPACITY CODE. SECOND, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, THE FIRM INCORRECTLY ENTERED APPROXIMATELY 245,000 ORDERS INTO THE NYSE MARKETPLACE MARKED WITH THE "AGENCY" CAPACITY CODE WHEN THE ORDERS SHOULD HAVE BEEN MARKED WITH THE "PRINCIPAL" CAPACITY CODE DUE TO A CODING ERROR IMPACTING A DIFFERENT FIRM TRADING PLATFORM ("OMS #2") THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. THE FINDINGS ALSO STATED THAT DURING THE RELEVANT PERIOD, RBCCM DID NOT HAVE A SUPERVISORY SYSTEM OR WRITTEN SUPERVISORY PROCEDURES IN PLACE THAT WERE REASONABLY DESIGNED TO CONFIRM THAT CLIENT ORDERS WERE CODED WITH ACCURATE CAPACITIES AND THUS ENSURE COMPLIANCE WITH NYSE RULES REQUIRING THAT ORDERS SUBMITTED TO THE NYSE ARE MARKED WITH ACCURATE AGENCY OR PRINCIPAL CAPACITY CODES. SPECIFICALLY, THE FIRM'S SURVEILLANCE REVIEW FAILED TO INCLUDE DATA FROM OMS #1 DURING THE ENTIRETY OF THE RELEVANT PERIOD, RESULTING IN A FAILURE TO DETECT THE ONGOING CAPACITY CODE VIOLATIONS THAT IMPACTED THIS TRADING PLATFORM FOR A PERIOD OF MORE THAN FIVE YEARS. ADDITIONALLY, DURING THE PERIOD FROM OCTOBER 2019 THROUGH MARCH 2020, A FIELD WITHIN THE FIRM'S SURVEILLANCE REPORT COVERING OMS #2 WAS NOT CORRECTLY POPULATED, RESULTING IN "NULL" VALUES THAT PREVENTED THE GENERATION OF ALERTS FOR INCORRECT CAPACITY CODES. THE FIRM'S SURVEILLANCE REVIEW WAS THEREFORE NOT FUNCTIONING PROPERLY FOR A PERIOD OF NEARLY SIX MONTHS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $185,000 (RESOLVED SIMULTANEOUSLY FOR SIMILAR MATTERS WITH OTHER EXCHANGES FOR A TOTAL FINE OF $650,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT REPORTED TO FINRA ORDERS WITH AN INACCURATE CAPACITY CODE. THE FINDING STATED THAT THE FIRM REPORTED PRINCIPAL ORDERS TO TRADE REPORTING FACILITIES FROM, AMONG OTHERS, THREE INTERNAL ACCOUNTS. HOWEVER, THE FIRM INCORRECTLY MARKED THE TRANSACTIONS FROM THESE ACCOUNTS DUE TO A CODING ERROR THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. AS A RESULT, THE FIRM REPORTED ORDERS TO THE TRADE REPORTING FACILITIES WITH AN INACCURATE CAPACITY. IN ADDITION, THE FIRM SENT ORDERS ON ITS OWN BEHALF AS WELL AS ON BEHALF OF CERTAIN AFFILIATES USING ONE OF ITS PROPRIETARY ORDER MANAGEMENT SYSTEMS. WHETHER AN ORDER SHOULD BE MARKED AS PRINCIPAL OR AGENCY DEPENDS ON THE TERMS OF THE AGREEMENT BETWEEN THE MARKET CENTER TO WHICH THE ORDER IS ROUTED AND THE ENTITY ON WHOSE BEHALF THE ORDER WAS BEING ROUTED. AT VARIOUS TIMES DURING THIS PERIOD, UPDATES TO THE RELEVANT AGREEMENTS REQUIRED THE FIRM TO CHANGE THE CAPACITY IT REPORTED FOR CERTAIN TRANSACTIONS. HOWEVER, THE FIRM FAILED TO MAKE CORRESPONDING UPDATES TO THE ORDER MANAGEMENT SYSTEM SO THAT THE CORRECT CAPACITY WOULD BE REPORTED. BECAUSE THE FIRM'S REPORTING LOGIC RELIED ON THESE OUTDATED SETTINGS, THE FIRM REPORTED ORDERS TO THE TRADE REPORTING FACILITIES WITH AN INACCURATE CAPACITY. THE FINDINGS STATED THAT THE FIRM HAD RECORDKEEPING VIOLATIONS DUE TO THE ORDER MEMORANDA FOR THE ABOVE-REFERENCED TRANSACTIONS INCLUDING THE INCORRECT CAPACITY. FOR EXAMPLE, AT TIMES THE ORDER MEMORANDA INDICATED THAT IT WAS A PRINCIPAL TRANSACTION WHEN IT WAS AN AGENCY TRANSACTION, OR VICE VERSA. THE FINDINGS ALSO INCLUDED THAT THE FIRM SUPERVISED FOR THE ACCURACY OF THE ORDER CAPACITIES IT REPORTED WITH TWO EXCEPTION REPORTS. HOWEVER, THESE EXCEPTION REPORTS DID NOT INCLUDE TRANSACTIONS FROM THE PROPRIETARY ORDER MANAGEMENT SYSTEM THE FIRM USED TO ROUTE ORDERS WITH AN INACCURATE CAPACITY. AS A RESULT, THE FIRM FAILED TO IDENTIFY THESE INACCURACIES. THE FIRM HAS SINCE REMEDIATED THIS SUPERVISORY FAILURE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $135,000, OF WHICH $67,500 IS PAYABLE TO FINRA.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM ROUTED ORDERS TO IEX WITH AN INACCURATE CAPACITY CODE AS A RESULT OF TWO SEPARATE ISSUES. THE FINDINGS STATED THAT THE FIRM ROUTED PRINCIPAL ORDERS TO IEX FROM, AMONG OTHERS, THREE INTERNAL ACCOUNTS. HOWEVER, THE FIRM INCORRECTLY MARKED THE TRANSACTIONS FROM THESE THREE ACCOUNTS DUE TO A CODING ERROR THAT FLIPPED THE REPORTED CAPACITY FROM PRINCIPAL TO AGENCY. AS A RESULT, THE FIRM ROUTED ORDERS TO IEX WITH AN INACCURATE CAPACITY CODE. IN ADDITION, THE FIRM SENT ORDERS ON ITS OWN BEHALF AS WELL AS ON BEHALF OF CERTAIN AFFILIATES USING ONE OF ITS PROPRIETARY ORDER MANAGEMENT SYSTEMS. WHETHER AN ORDER SHOULD BE MARKED AS PRINCIPAL OR AGENCY DEPENDS ON THE TERMS OF THE AGREEMENT BETWEEN THE MARKET CENTER TO WHICH THE ORDER IS ROUTED AND THE ENTITY ON WHOSE BEHALF THE ORDER WAS BEING ROUTED. AT VARIOUS TIMES DURING THIS PERIOD, UPDATES TO THE RELEVANT AGREEMENTS REQUIRED THE FIRM TO CHANGE THE CAPACITY IT REPORTED FOR CERTAIN TRANSACTIONS. THE FIRM FAILED, HOWEVER, TO MAKE CORRESPONDING UPDATES TO THE ORDER MANAGEMENT SYSTEM SO THAT THE CORRECT CAPACITY WOULD BE REPORTED. BECAUSE THE FIRM'S REPORTING LOGIC RELIED ON THESE OUTDATED SETTINGS, THE FIRM ROUTED ORDERS TO IEX WITH AN INACCURATE CAPACITY CODE. THE FINDINGS ALSO STATED THAT THE FIRM HAD RECORDKEEPING VIOLATIONS DUE TO THE ORDER MEMORANDA FOR THE ABOVE REFERENCED TRANSACTIONS INCLUDING THE INCORRECT CAPACITY CODE. FOR EXAMPLE, AT TIMES THE ORDER MEMORANDA INDICATED THAT IT WAS A PRINCIPAL TRANSACTION WHEN IT WAS AN AGENCY TRANSACTION, OR VICE VERSA. THE FINDINGS ALSO INCLUDED THAT THE FIRM SUPERVISED FOR THE ACCURACY OF THE ORDER CAPACITIES IT REPORTED WITH TWO EXCEPTION REPORTS. HOWEVER, THESE EXCEPTION REPORTS DID NOT INCLUDE TRANSACTIONS FROM THE ORDER MANAGEMENT SYSTEM THE FIRM USED TO ROUTE ORDERS WITH AN INACCURATE CAPACITY CODE. AS A RESULT, THE FIRM FAILED TO IDENTIFY THESE INACCURACIES. THE FIRM HAS SINCE REMEDIATED THE SUPERVISORY FAILURE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $135,000, OF WHICH $67,500 IS PAYABLE TO IEX.
Allegations: THE NASDAQ ENFORCEMENT DEPARTMENT (THE "STAFF") REVIEWED THE FIRM'S COMPLIANCE WITH NASDAQ RULES REQUIRING MEMBERS TO INPUT THE CORRECT CAPACITY CODES ON EQUITY ORDERS ENTERED INTO EXCHANGE SYSTEMS BETWEEN AUGUST 28, 2015 AND NOVEMBER 2, 2020. AS A RESULT OF ITS REVIEW, THE STAFF DETERMINED THAT THE FIRM INPUT THE INCORRECT CAPACITY CODE ON HUNDREDS OF MILLIONS OF EQUITY ORDERS IT ENTERED INTO MULTIPLE EXCHANGES, INCLUDING OVER 40,485,994 ORDERS IT INPUT INTO THE NASDAQ SYSTEM WITH INCORRECT CAPACITY CODES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE AND A FINE IN THE AMOUNT OF $180,000
Allegations: THE PHLX ENFORCEMENT DEPARTMENT REVIEWED THE FIRM'S COMPLIANCE WITH PHLX RULES REQUIRING MEMBERS TO INPUT THE CORRECT CAPACITY CODES ON EQUITY ORDERS ENTERED INTO EXCHANGE SYSTEMS BETWEEN AUGUST 28, 2015 AND NOVEMBER 2, 2020. THE ENTRY OF INACCURATE CAPACITY CODES CAUSES THE AUDIT TRAIL TO BE INACCURATE, WHICH CAN AS A RESULT OF ITS REVIEW, THE STAFF DETERMINED THAT THE FIRM INPUT THE INCORRECT CAPACITY CODE ON HUNDREDS OF MILLIONS OF EQUITY ORDERS IT ENTERED INTO MULTIPLE EXCHANGES, INCLUDING OVER 11,187,701 ORDERS IT INPUT INTO THE PSX SYSTEM WITH INCORRECT CAPACITY CODES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE AND A FINE IN THE AMOUNT OF $45,000
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FILED SHORT INTEREST REPORTS THAT OVERREPORTED THE NUMBER OF SHARES ASSOCIATED WITH SHORT INTEREST POSITIONS. THE FINDINGS STATED THAT THE FIRM SUBMITTED SHORT INTEREST REPORTS TO FINRA THAT ERRONEOUSLY INCLUDED SHORT POSITIONS IN ACCOUNTS RESULTING FROM REPURCHASE AND PLEDGE TRANSACTIONS AND SECURITIES LENDING CONDUCTED BY THE FIRM OR ITS AFFILIATES, AND SYNDICATE ACTIVITY OF CORRESPONDENT FIRMS FOR WHICH IT CLEARS SECURITIES TRANSACTIONS. BECAUSE THESE SHORT POSITIONS DID NOT RESULT FROM "SHORT SALES" AS DEFINED IN RULE 200(A) OF REGULATION SHO AND WERE NOT TRANSACTIONS THAT WERE MARKED LONG DUE TO THE FIRM'S OR THE CUSTOMER'S NET LONG POSITION AT THE TIME OF THE TRANSACTION, THEY WERE NOT REPORTABLE UNDER FINRA RULE 4560. AS A RESULT, THE FIRM OVERREPORTED THE NUMBER OF SHARES ASSOCIATED WITH THE SHORT INTEREST POSITIONS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SHORT INTEREST REPORTING REQUIREMENTS. ALTHOUGH THE FIRM CODED ACCOUNTS AS REPORTABLE OR NON-REPORTABLE FOR SHORT INTEREST REPORTING PURPOSES, ITS SUPERVISORY SYSTEM DID NOT PROVIDE FOR TESTING OF THE CODING OF ACCOUNTS ON AN ONGOING BASIS. IN ADDITION, THE FIRM RELIED ON EMAIL NOTIFICATIONS FROM THE FIRM'S CORRESPONDENT BUSINESS CLEARING LINE FOR RECONCILING THE CODING AND INCLUSION OR EXCLUSION OF SYNDICATE ACCOUNTS FOR SHORT INTEREST REPORTING PURPOSES. HOWEVER, THE FIRM DID NOT IMPLEMENT PROCESSES OR PROCEDURES TO MONITOR WHETHER THE NOTIFICATIONS WERE TIMELY RECEIVED AND REVIEWED. SUBSEQUENTLY, THE FIRM AMENDED ITS SUPERVISORY SYSTEMS AND PROCEDURES TO INCLUDE, AMONG OTHER THINGS, ADDITIONAL REVIEWS AT THE TIME OF ACCOUNT CREATION AND SHORT INTEREST REPORTING AND A LOOKBACK REVIEW IDENTIFYING CHANGES IN THE LAST SIX REPORT CYCLES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $250,000.
Allegations: RBC CAPITAL MARKETS, LLC VIOLATED CME RULES 930.E.1. AND 930.K.1. Status: Final Sanction Detail: THE CME ACCEPTED THE FIRM'S SETTLEMENT OFFER AND IN ACCORDANCE WITH THE TERMS THEREOF, ACKNOWLEDGING RBC CAPITAL MARKETS, LLC NEITHER ADMITTED NOR DENIED VIOLATING EXCHANGE RULES, FOUND THE FIRM GUILTY OF VIOLATING CME RULES 930.E.1. AND 930.K.1., AND FINED THE FIRM $25,000.
Allegations: RBC CAPITAL MARKETS, LLC NEITHER ADMITTED NOR DENIED VIOLATING EXCHANGE RULES, FOUND THE FIRM GUILTY OF VIOLATING CME RULE 980.A. Status: Final Sanction Detail: THE CME ACCEPTED THE FIRM'S SETTLEMENT OFFER AND IN ACCORDANCE WITH THE TERMS THEREOF, ACKNOWLEDGING RBC CAPITAL MARKETS, LLC NEITHER ADMITTED NOR DENIED VIOLATING EXCHANGE RULES, FOUND THE FIRM GUILTY OF VIOLATING CME RULE 980.A., AND FINED THE FIRM $50,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS SUPERVISORY SYSTEM DID NOT PROVIDE CERTAIN CUSTOMERS WITH MUTUAL FUND SALES CHARGE WAIVERS AND FEE REBATES TO WHICH THEY WERE ENTITLED THROUGH RIGHTS OF REINSTATEMENT OFFERED BY MUTUAL FUND COMPANIES. THE FINDINGS STATED THAT THE FIRM'S OVERSIGHTOF DISCOUNTS AVAILABLE THROUGH RIGHTS OF REINSTATEMENT RELIED ON AN AUTOMATED ALERT THAT WAS SET TO IDENTIFY TRANSACTIONS IN WHICH A CUSTOMER LIQUIDATES A POSITION IN A FUND FAMILY AND THEN PURCHASES BACK INTO THE SAME FAMILY AT A LATER DATE. THE ALERT WAS NOT DESIGNED TO, AND DID NOT, CAPTURE ALL TRANSACTIONS ELIGIBLE FOR REINSTATEMENT PRIVILEGES. THE FIRM ALSO, AT TIMES, FAILED TO REASONABLY REVIEW ALERTS THAT DID TRIGGER TO ENSURE THAT ELIGIBLE CUSTOMERS WERE CREDITED WITH REINSTATEMENT PRIVILEGES. AS RESULT, ELIGIBLE CUSTOMERS PAID $264,939.44 INEXCESS SALES CHARGES AND FEES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $75,000, AND REQUIRED TO CERTIFY THAT IT HAS REMEDIATED THE ISSUES IDENTIFIED IN THE AWC AND IMPLEMENTED A REASONABLY DESIGNED SUPERVISORY SYSTEM, INCLUDING WSPS. THE FIRM HAS ALREADY MADE FULL RESTITUTION, PLUS INTEREST, TO THE AFFECTED CUSTOMERS.
Allegations: RBC DOMINION SECURITIES, INC. VIOLATED CBOE EXCHANGE RULES 412B(B) FOR ALLEGED FAILURE TO SUBMIT TIMELY LARGE TRADER REPORTS FOR A SINGLE CUSTOMER. Status: Final Sanction Detail: THE CBOE ACKNOWLEDGED THAT THE FIRM DOES NOT HAVE ANY PRIOR RELEVANT DISCIPLINARY HISTORY RELATED TO REPORTING REQUIREMENTS FOR CFE RULE 412B(B). IN LIGHT OF THE ALLEGED RULE VIOLATIONS DESCRIBED ABOVE, THE FIRM CONSENTS TO THE IMPOSITION OF MONETARY FINE IN THE AMOUNT OF $30,000 WITHOUT ADMISSION OR DENIAL OF THE VIOLATION.
Allegations: IT IS ALLEGED THAT ON JANUARY 13, 2014, RBC CAPITAL MARKETS, LLC ("RBCCM") EXECUTED A BLOCK TRADE IN THE MARCH 2014 5YEAR NOTE CONTRACT THAT WAS NOT REPORTED TO THE EXCHANGE WITHIN THE APPLICABLE TIME LIMIT FOLLOWING EXECUTION, AND THAT RBCCM REPORTED AN INACCURATE TIME OF EXECUTION OF THE BLOCK TRADE. ADDITIONALLY, IT IS ALLEGED THE RBCCM AGREED TO SELL TO THE CUSTOMER AT ONE PRICE, BUT REPORTED THAT THE BLOCK TRADE WAS EXECUTED AT A DIFFERENT PRICE TO THE EXCHANGE. THIS CONDUCT ALLEGEDLY VIOLATED CBOT RULE 526.F. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO PAY A FINE OF $30,000.00.
Allegations: THE VIRGINIA STATE CORPORATION COMMISSION ALLEGED THAT, FROM DECEMBER 1, 2017 THROUGH NOVEMBER 27, 2020, RBC EMPLOYED AN INVESTMENT ADVISOR REPRESENTATIVE (IAR) WHO WAS REGISTERED IN THE DISTRICT OF COLUMBIA BUT NOT VIRGINIA AND THAT RBC FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING IAR REGISTRATION. Status: Final Sanction Detail: $10,000 CIVIL PENALTY -- PAID BY CHECK ON 01/15/2021 Summary: ON SEPTEMBER 8, 2021, RBC EXECUTED THE SETTLEMENT ORDER WHICH STATES THAT RBC NEITHER ADMITS NOR DENIES THE VIRGINIA STATE CORPORATION COMMISSION'S ALLEGATIONS.
Allegations: RBC CAPITAL MARKETS, LLC. FAILED TO TIMELY REPORT ADMINISTRATIVE ACTIONS IN VIOLATION OF L.A.R.S 22:1563(A). Status: Final Sanction Detail: FINE IN THE AMOUNT OF $250.00. Summary: FORM BD AMENDMENTS WHICH WERE SUBMITTED AND ON FILE WITH FINRA WERE NOT UPLOADED TO INSURANCE NATIONAL INSURANCE PRODUCER REGISTRY ATTACHMENT WHAREHOUSE IN A TIMELY MANNER.
Allegations: FEDERALLLY COVERED INVESTMENT ADVISOR FIRM RBC CAPITAL MARKETS, LLC ALLEGEDLY EMPLOYED AN INVESTMENT ADVISOR REPRESENTATIVE IN THE COMMONWEALTH OF VIRGINIA WITHOUT THAT PERSON BEING DULY REGISTERED WITH THE DIVISION OF SECURITIES AND RETAIL FRANCHISING OF THE STATE CORPORATION COMMISSION OF VIRGINIA, IN VIOLATION OF § 13.1-504 C (II) OF THE VIRGINIA SECURITIES ACT. THE REPRESENTATIVE WAS REGISTERED IN ANOTHER STATE BUT MOVED OFFICES WITH RBC. Status: Final Sanction Detail: RBC CAPITAL MARKETS, LLC WILL PAY $10000 IN MONETARY PENALTY; AND WILL PAY $1000 TO DEFRAY THE COSTS OF INVESTIGATION. RBC CAPITAL MARKETS, LLC WILL NOT VIOLATE THIS ACT IN THE FUTURE.
Allegations: FAILURE TO HAVE SUFFICIENT SUPERVISION AND CONTROLS IN ITS FX TRADING BUSINESS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS.
Allegations: THE NEW JERSEY BUREAU OF SECURITIES ALLEGES THAT RBC CAPITAL MARKETS, LLC FAILED TO FOLLOW ITS OWN PROCEDURES WITH RESPECT TO MONTHLY ACCOUNT REVIEWS ("MARS"), FAILED TO REASONABLY SUPERVISE ITS AGENTS AND IS SUBJECT TO SANCTIONS UNDER N.J.S.A 49.3-58(A)(2)(XI), AND ALSO FAILED TO MAINTAIN COPIES OF THE MARS, RBC CAPITAL MARKETS, LLC FAILED TO KEEP ACCURATE BOOKS AND RECORDS, IN VIOLATION OF N.J.S.A. 49:3-59(B). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, AND SOLELY FOR THE PURPOSE OF THIS PROCEEDING, THE FIRM CONSENTS TO THE BUREAU CHIEF MAKING THE FOLLOWING CONCLUSIONS OF LAW: BY FAILING TO FOLLOW ITS OWN PROCEDURES WITH RESPECT TO MARS, THE FIRM FAILED TO REASONABLY SUPERVISE ITS AGENTS AND IS SUBJECT TO SANCTIONS UNDER N.J.S.A 49:3-58(A)(2)(XI). BY FAILING TO MAINTAIN COPIES OF THE MARS, RBC CAPITAL MARKETS, LLC FAILED TO KEEP ACCURATE BOOKS AND RECORDS, IN VIOLATION OF N.J.S.A. 49:3-59(B). PURSUANT TO N.J.S.A. 49:3-70.1, RBC IS ASSESSED A CIVIL MONETARY PENALTY IN THE AMOUNT OF $150,000.00, OF WHICH $100,000.00 IS SUSPENDED DUE TO RBC'S EXTENSIVE COOPERATION WITH THE BUREAU DURING ITS INVESTIGATION. RBC SHALL PAY $300,000 IN DISGORGEMENT TO THE BUREAU.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTIONS 115.10(A) AND 115.10(B)(1) AND REPRIMAND UNDER SECTION 14.A(5) OF THE RULES AND REGULATIONS OF THE TEXAS STATE SECURITIES BOARD. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 10-04-10(2) AND DISCIPLINE UNDER SECTION 10-04-11(1)(M) OF THE NORTH DAKOTA CENTURY CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 12 OF THE ILLINOIS SECURITIES LAW OF 1953. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF RULE 830-X-3-13(3) OF THE RULES OF THE ALABAMA SECURITIES COMMISSION AS WELL AS SECTION 8-6-3(A) OF THE CODE OF ALABAMA. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WEERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 61-1-6(2)(A)(II)(J) AND 61-1-3(2)(A) OF THE UTAH UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION NRS 90.310(2) AND CONDUCT RULE 3010 OF THE NEVADA UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF AS 45.55.030(A) AND AS 45.55060 OF THE ALASKA SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTIONS 23-42-301(B)(1) AND SECTION 23-42-308(A)(2)(J) OF THE ARKANSAS CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF CALIFORNIA CORPORATIONS CODE SECTION 25217(A) AND 25210(B), AS WELL AS CALIFORNIA CODE OF REGULATIONS, TITLE 10, SECTIONS 260.218.4 AND 260.218.4(C). Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 10-5-4(A)(11) AND SECTION 10-5-3(A) OF THE 1973 GEORGIA UNIFORM SECURITIES ACT AND RULE 590-4-2-.07 OF THE 1973 RULES, AS WELL AS SECTION 10-5-41(D)(9)AND SECTION 10.5.31(D)OF THE 2008 GEORGIA UNIFORM SECURITIES ACT AND RULE 590-4-5.12 OF THE 2008 RULES. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF CHAPTER 110A, SECTION204(A)(2)(J) AND SECTION 201(B) OF THE MASSACHUSETTS GENERAL LAWS. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 80A.57(A) AND SECTION 80A.67(D)(9)OF THE MINNESOTA STATUES. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF RULE 521 OF THE PREDECESSOR ACT OF THE MISSISSIPPI CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF OREGON ADMINISTRATIVE RULE 441-205-0210(3) AS WELL AS OREGON REVISED STATUE 59.165(3). Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 7-11-212(B)(11) AS WELL AS SECTION 7-11-201(A) AND (B) OF THE RHODE ISLAND UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF CHAPTER 23, 9VIC, SECTION 632(D) AND 642(D)(9) OF THE VIRGIN ISLANDS UNIFORM SECURITIES ACT Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF RCW 21.20.040(2) AND RCW 21.20.110(1)(J) OF THE SECURITIES ACT OF WASHINGTON. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF RSA 421-B:10(A) AND (B)(10) OF THE NEW HAMPSHIRE SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 73-304(A)(10) AND 73-301(A) OF THE DELAWARE SECURITIES ACT Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATION OF SECTION 30-10-201(13)(K) AND 30-10-201(L) OF THE SECURITIES ACT OF MONTANA. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 35-1-402(D)(SUPP. 2012) AND SECTION 35-1-412(D)(9) (SUPP.2012) OF THE SOUTH CAROLINA CODE OF LAWS. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 502.402(1)(2013), SECTION 502.412(4)(I)(2013) AND SECTION 502.412(3)(2013) OF THE IOWA UNIFORM SECURITIES ACT, IOWA CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF 9 V.S.A. SECTION 5402(A), SECTION 5412(D)(9) AND SECTION 5402(D) OF THE VERMONT UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 23-19-4-2(D)SECTION 23-19-4-12(D)(9) OF THE INDIANA UNIFORM SECURITIES ACT AND SECTION 4-7-6(D)1) OF THE 710 INDIANA ADMINISTRATION CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 551.412(4)(I) OF THE WISCONSIN UNIFORM SECURITIES LAW AND DFI SECTION 4.05(2) Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF CHAPTER 1707.44(A)(1) OF THE REVISED CODE AND CHAPTER 1301:6-3-19(B)(9) OF THE OHIO ADMINISTRATIVE CODE Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 49:3-58(A)(2)(XI) AND SECTION 49:3-56(H) OF THE NEW JERSEY STATUTES ANNOTATED. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 48-1-112(A)(2)(J) AND SECTION 48-1-109(B) OF THE TENNESSEE CODE ANNOTATED. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE SATTE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 31-5602.01(A) AND SECTION 31-5602.07(12) OF THE D.C. OFFICIAL CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE SATTE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 305(A)(VII) OF THE 1972 ACT, 70 P.S., SECTION 1-305(A)(VII) AND REGULATION SECTION 305.011(A), 10 PA. CODE SECTION 1-305.011(A) OF THE PENNSYLVANIA CODE. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE SATTE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 81-3-7 OF THE KANSAS ADMINISTRATIVE REGULATION AND SECTION 17-12A-402(A) OF THE KANSAS UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE SATTE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF TITLE 32 M.R.S. SECTION 16412(4)(I) AND TITLE 32 M.R.S. SECTION 16402(4) OF THE MAINE UNIFORM SECURITIES ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 20:08:03:08 OF THE SOUTH DAKOTA ADMINISTRATIVE RULE AS WELL AS SECTION 47-31B-402(D) OF THE SOUTH DAKOTA CODIFIED LAW. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF 808 KAR 10:030, SECTION 4(1)(A)1 OF THE KENTUCKY ADMINISTRATIVE REGULATIONS AND SECTION KRS 292.337(K) OF THE KENTUCKY REVISED STATUTES. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 8-1103(1)(REISSUE 2012) OF THE NEBRASKA REVISED STATUTES. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $.28 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF ARTICLE 23-A, SECTION 359-E(3) OF THE GENERAL BUSINESS LAW COMMONLY KNOWN AS THE MARTIN ACT. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $.28 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 409.4-402(D) RSMO (CUM. SUPP. 2012) AND 409.4-412(D)(9) RSMO (CUM. SUPP. 2012)OF THE MISSOURI REVISED STATUTES Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $.28 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: RBC CAPITAL MARKETS, LLC IS ALLEGED TO HAVE VIOLATED SECTION 11-402 OF THE MARYLAND SECURITIES ACT BY FAILING TO REGISTER AN INDIVIDUAL APPROPRIATELY AS AN INVESTMENT ADVISER REPRESENTATIVE BETWEEN AUGUST 3, 2011 AND JUNE 2, 2014. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE PAYMENT OF A $15,000 FINE FOR VIOLATION OF SECTION 11-402 OF THE MARYLAND SECURITIES ACT.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 11-402(A)(1) AND SECTION 11-412(A)(10) OF THE MARYLAND SECURITIES ACT, CORPORATIONS AND ASSOCIATIONS ARTICLE, TITLE 11, ANNOTATED CODE OF MARYLAND (2014 REPL. VOL.). Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH THE APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WHERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF SECTION 1-402(A) OF THE OKLAHOMA UNIFORM SECURITIES ACT OF 2004. Summary: AS PART OF A MULTI-STATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF TITLE 10, PART XIII, CHAPTER 19, SECTION 1901(A) OF THE LOUISIANA ADMINISTRATIVE CODE. Summary: AS PART OF A MULTISTATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH THE APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: IT IS HIGHLY LIKELY THAT THE FIRM ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES THROUGH CERTAIN EMPLOYEES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH APPLICABLE STATE LAWS, CONSTITUTING FAILURE BY THE FIRM TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE REPAYMENT OF BACK LICENSING FEES AND PENALTIES FOR VIOLATIONS OF 78A-39(AL)(2(A)AND 78A-36(B)OF THE NORTH CAROLINA GENERAL STATUTES. Summary: AS PART OF A MULTISTATE SETTLEMENT, THE FIRM ENTERED INTO AN AGREEMENT INDIVIDUALLY WITH EACH STATE IN THE AGGREGATE AMOUNT OF $2.8 MILLION. THIS RESULTED FROM ALLEGATIONS THAT CLIENT ASSOCIATES WHO WERE NOT APPROPRIATELY LICENSED IN ACCORDANCE WITH THE APPLICABLE STATE LAWS ACCEPTED ORDERS FOR TRANSACTIONS IN SECURITIES; AND THE FIRM FAILED TO ESTABLISH AND ENFORCE AN ADEQUATE SYSTEM TO MONITOR THE LICENSING STATUS OF SUCH EMPLOYEES. IN ADDITION TO THE AGGREGATE FINE, THE FIRM UNDERTAKES TO ESTABLISH AND MAINTAIN POLICIES, PROCEDURES, AND SYSTEMS THAT REASONABLY SUPERVISE THE TRADE PROCESS SO THAT THE FIRM CAN ONLY ACCEPT CLIENT ORDERS THAT ORIGINATE FROM JURISDICTIONS WHERE THE EMPLOYEE WHO ACCEPTS THE ORDER IS APPROPRIATELY LICENSED.
Allegations: SEC ADMIN RELEASES 339839;3475233,JUNE 18, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST RBC CAPITAL MARKERS, LLC ("THE FIRM"). THE FIRM WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT. THIS MATTER INVOLVES VIOLATIONS OF AN ANTIFRAUD PROVISION OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THE FIRM'S UNDERWRITING OF CERTAIN MUNICIPAL SECURITIES OFFERINGS. THE FIRM, A REGISTERED BROKER DEALER, CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN THE FIRM OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE VIOLATIONS WERE SELF-REPORTED BY THE FIRM TO THE COMMISSION PURSUANT TO THE DIVISION OF ENFORCEMENT'S (THE "DIVISION") MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION (MCDC) INITIATIVE. Status: Final Sanction Detail: RBC CAPITAL MARKETS, LLC SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 AND COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RBC CAPITAL MARKETS, LLC ("THE FIRM") HAS SUBMITTED AN OFFER OF SETTLEMENT (THE "OFFER") WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, AND WITHOUT ADMITTING OR DENYING THE FINDINGS, EXCEPT AS TO THE COMMISSION'S JURISDICTION OVER THE FIRM AND THE SUBJECT MATTER OF THESE PROCEEDINGS, WHICH ARE ADMITTED, THE FIRM CONSENTSTO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST TO IMPOSE THE SANCTIONS AGREED TO IN THE FIRM'S OFFER. THE FIRM SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF 17(A)(2)OF THE SECURITIES ACT; WITHIN TEN (10) DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 TO THE SECURITIES AND EXCHANGE COMMISSION; AND RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST RBC CAPITAL MARKETS, LLC (RBC OR RESPONDENT). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT THAT THE COMMISSION HAS DETERMINED TO ACCEPT. THE COMMISSION FINDS THAT FROM AT LEAST JUNE 2019 (THE RELEVANT PERIOD), RBC PERSONNEL SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT WERE RECORDS REQUIRED TO BE MAINTAINED UNDER EXCHANGE ACT RULE 17A-4(B)(4) AND/OR ADVISERS ACT RULE 204-2(A)(7). RESPONDENT DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE WRITTEN COMMUNICATIONS. RESPONDENT'S FAILURES WERE FIRM-WIDE AND INVOLVED PERSONNEL AT VARIOUS LEVELS OF AUTHORITY THROUGHOUT THE ORGANIZATION. RBC'S WIDESPREAD FAILURE TO IMPLEMENT A SYSTEM REASONABLY EXPECTED TO DETERMINE WHETHER PERSONNEL WERE FOLLOWING ITS POLICIES AND PROCEDURES THAT PROHIBIT OFF-CHANNEL COMMUNICATIONS LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS PERSONNEL WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AND SECTION 203(E)(6) OF THE ADVISERS ACT. DURING THE RELEVANT PERIOD, RBC RECEIVED AND RESPONDED TO COMMISSION SUBPOENAS FOR DOCUMENTS AND/OR RECORDS REQUESTS IN A NUMBER OF COMMISSION INVESTIGATIONS. AS A RESULT, RBC'S RECORDKEEPING FAILURES LIKELY IMPACTED THE COMMISSION'S ABILITY TO CARRY OUT ITS REGULATORY FUNCTIONS AND INVESTIGATE VIOLATIONS OF THE FEDERAL SECURITIES LAWS ACROSS THESE INVESTIGATIONS. COMMISSION STAFF FOUND RBC'S MISCONDUCT AFTER COMMENCING A RISK-BASED INITIATIVE TO INVESTIGATE THE USE OF OFF-CHANNEL AND UNPRESERVED COMMUNICATIONS AT INVESTMENT ADVISERS. RBC HAS INITIATED A REVIEW OF ITS RECORDKEEPING FAILURES AND BEGUN A PROGRAM OF REMEDIATION. AS A RESULT OF ITS CONDUCT, RBC WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER AND FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. Status: Final Sanction Detail: AS A RESULT OF ITS CONDUCT, RBC WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER AND FAILED REASONABLY TO SUPERVISE ITS PERSONNEL, WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. ACCORDINGLY, IT IS HEREBY ORDERED THAT RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, IS CENSURED, SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER, AND SHALL PAY A CIVIL MONEY PENALTY OF $45,000,000.
Allegations: THE SEC ALLEGED THAT RBCCM, DURING THE PERIOD JANUARY 1, 2014 THROUGH MARCH 27, 2017, FAILED TO MAKE ADEQUATE DISCLOSURES, IN ITS FORM ADV OR OTHERWISE, REGARDING ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES, AND THE 12B-1 FEES IT RECEIVED, IN CONNECTION WITH ADVISORY ACCOUNT TRANSACTIONS. SPECIFICALLY, AT TIMES DURING THE RELEVANT PERIOD, RBCCM PURCHASED, RECOMMENDED OR HELD IN ADVISORY ACCOUNTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES IN THE SAME FUND. THE SEC ALLEGED THAT RBCCM FAILED TO ADEQUATELY DISCLOSE THE RECEIPT OF THE 12B-1 FEES AND THE CONFLICT CREATED THEREBY, THEREBY ALLEGEDLY WILLFULLY VIOLATING SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS THE FIRM SHALL CEASE FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. RESPONDENT IS CENSURED, SHALL PAY DISGORGEMENT OF $10,494,813.38 AND PREJUDGMENT INTEREST OF $1,220,581.34, AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: THE FIRM HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMS IT APPROPRIATE IN THE PUBLIC INTEREST TO IMPOSE THE SANCTIONS AGREED TO IN THE RESPONDENT'S OFFER. RESPONDENT SELF-REPORTED TO THE COMMISSION THE VIOLATIONS DISCUSSED IN THIS ORDER PURSUANT TO THE DIVISION OF ENFORCEMENT'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE ("SCSD INITIATIVE"). ACCORDINGLY, THIS ORDER AND RESPONDENT'S OFFER ARE BASED ON THE INFORMATION SELF-REPORTED BY RESPONDENT.
Allegations: SEC ADMIN RELEASE 3478735, AUGUST 31, 2016: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE AND DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), AGAINST RBC CAPITAL MARKETS, LLC ("RBC" OR "RESPONDENT"). IT IS ALLEGED THAT RBC CAUSED RURAL/METRO CORPORATION'S VIOLATIONS OF THE PROXY STATEMENT PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THE SALE OF RURAL/METRO CORPORATION ("RURAL") IN 2011 TO A PRIVATE EQUITY FIRM. RBC, WHICH SERVED AS RURAL'S LEAD FINANCIAL ADVISER FOR THE SALE, ALLEGEDLY RENDERED A FAIRNESS OPINION TO RURAL'S BOARD OF DIRECTORS THAT CONTAINED MATERIALLY FALSE AND MISLEADING INFORMATION CONCERNING RBC'S VALUATION ANALYSIS. RBC ALLEGEDLY CAUSED THAT INFORMATION TO BE INCLUDED IN THE PROXY STATEMENT THAT RURAL FILED TO SOLICIT VS HAREHOLDER APPROVAL FOR THE SALE. AS A RESULT, RBC ALLEGEDLY CAUSED RURAL TO VIOLATE SECTION 14(A) OF THE EXCHANGE ACT AND RULE 14A9 THEREUNDER, WHICH PROHIBITS SOLICITATION BY MEANS OF A PROXY STATEMENT THAT CONTAINS ANY MATERIALLY FALSE OR MISLEADING STATEMENT. Status: Final Sanction Detail: RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT (THE "OFFER") WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. IT IS ORDERED THAT PURSUANT TO SECTION 21C OF THE EXCHANGE ACT, RESPONDENT RBC CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 14(A) OF THE EXCHANGE ACT AND RULE 14A9 THEREUNDER. RBC SHALL, WITHIN 14 DAYS OF THE ENTRY OF THIS ORDER, PAY DISGORGEMENT OF $500,000 AND PREJUDGMENT INTEREST OF $77,759, PLUS A CIVIL MONEY PENALTY IN THE AMOUNT OF $2,000,000, FOR A TOTAL PAYMENT OF $2,577,759, TO THE SECURITIES AND EXCHANGE COMMISSION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 30, 2026.
View current Form ADV (SEC/IAPD) ↗