Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

RBC Dain Rauscher, Inc.

RBC Dain Rauscher, Inc. (CRD #31194, Minneapolis, Minnesota) received a censure and fine of $15,000. According to the findings, the firm failed to accept or decline in ACT transactions in eligible securities within 20 minutes after execution. The NASD also found that the firm failed to enforce its written supervisory procedures that specified it was to conduct a weekly review of trade reports for compliance with NASD Marketplace Rule 6130(b). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050071)

Did RBC Dain Rauscher, Inc. manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation