The U.S. brokerage firm had several control and supervisory failures that led to several brief capital deficiencies in 2014
U.S. regulator holds annual general meeting
The firm settled the allegations without admitting or denying the charges
The historical data that’s currently available does not include any identifying information about dealers
Interactive game aims to help investors spot the tactics used by con artists
Scammers using fake regulator web sites and false broker identities
But new standard must be created under U.S. securities laws for several reasons, says CEO of U.S. SRO
The firm failed to accurately report its short interest positions in certain securities
Tougher sanctions against those who commit fraud or make unsuitable recommendations to clients
RBC Capital Markets ordered to pay restitution to customers for supervisory failures