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Client claims that emails sent prior to the transfer of his accounts were sell orders which should have been executed and that RBC is responsible for the performance of his investments after he transferred his accounts to another firm. Time frame is 2/3/20 to 2/10/20.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.