Jan 20, 2022

Steven Gordon of RBC Capital Markets

DID STEVEN A. GORDON CAUSE YOU INVESTMENT LOSSES? Steven Gordon of RBC Capital Markets And Formerly With Oppenheimer & Co. Has A Customer Complaint For Alleged Broker Misconduct Who is Steven Gordon of RBC Capital Markets? Steven Gordon (CRD #1112019) who is currently registered with RBC Capital Markets and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, Steven Gordon was associated with Oppenheimer & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Steven Gordon Customer Complaint Steven Gordon has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Claimant alleged that the commissions charged on three specific trades were excessive. An arbitration award was entered against Oppenheimer & Co. for the alleged misconduct causing investors losses. Steven Gordon Red Flags & Your Rights As An Investor Of course, Steven Gordon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Gordon at RBC Capital Markets and Oppenheimer & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Gordon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets and Oppenheimer & Co. also raises questions about the brokerage firm’ssupervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets Due To Steven Gordon If you have questions about RBC Capital Markets, Oppenheimer & Co., and/or Steven Gordon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Marc Friedson of RBC Capital Markets, LLC

DID MARC ROBERT FRIEDSON CAUSE YOU INVESTMENT LOSSES? Marc Robert Friedson formerly with RBC Capital Markets, LLC Has 9 Customer Complaints For Alleged Broker Misconduct Who is Marc R. Friedson formerly with RBC Capital Markets, LLC? Marc Friedson (CRD #1178838) who was formerly registered with RBC Capital Markets, LLC and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Marc Friedson was associated with5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Marc Friedson has been the subject of 9 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. 6 of Marc Friedson’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Marc Friedson’s former employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Marc Friedson A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged that their financial advisor recommended unsuitable investments in Puerto Rico bonds and recommended that they hold an unsuitable level of concentration and such bonds. Client alleged that Marc Friedson made unsuitable recommendations that led to an overconcentration in the energy sector and municipal bonds. Customers allege recommendations of Puerto Rico bonds and Lynn Energy were unsuitable investment recommendations. Claimants alleged unsuitable investment recommendations to purchase various corporate bonds. Client alleged unsuitable in unauthorized transactions. Customer allege that Marc Friedson recommended an unsuitable transaction in PLMIV, a Limited partnership. Marc Friedson Red Flags & Your Rights As An Investor Of course, Marc Friedson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Marc Friedson at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Marc Friedson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC If you have questions about RBC Capital Markets, LLC and/or Marc Friedson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Joseph Chu of RBC Capital Markets, LLC

DID JOSEPH IJONG CHU CAUSE YOU INVESTMENT LOSSES? Joseph Ijong Chu With RBC Capital Markets, LLC Has 3 Customer Complaints for Alleged Broker Misconduct in The Past Year Who is Joseph I. Chu with RBC Capital Markets, LLC? Joseph Chu (CRD #4546805) who is currently registered with RBC Capital Markets, LLC and located in Stamford, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Joseph Chu was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporatedanother investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. RBC Capital Markets, LLC Broker Misconduct In his career, Joseph Chu has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. One of those complaints was denied by his former employer today, the customer is not taking any further action.  There are currently 3 pending customer complaints filed against Joseph Chu’s current employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct. Allegations Against Joseph Chu   A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleges that the financial advisor made unsuitable mutual fund investment recommendations. The claimant alleged he suffered losses due to the financial advisor’s failure to properly diversify his pension plan account and over-concentrated his portfolio in the oil and gas energy sector. The claimant contends the financial advisor recommended unsuitable investments in the production, industrial metals, and materials stocks and over-concentrated his portfolio in those sectors. The customer alleged that the financial advisor made unsuitable investment recommendations and misrepresentations in connection with the investments in the oil and gas sector. Joseph Chu Red Flags & Your Rights As An Investor Of course, Joseph Chu did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Chuat RBC Capital Markets, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Joseph Chu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At RBC Capital Markets, LLC If you have questions about RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Joseph Chu and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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