Defendant Name: RBC Capital Markets Corporation

Defendant Type: Subsidiary of Public Company

Initial Case Details

Legal Case Name SEC v. RBC Capital Markets Corporation
First Document Date 03-Jun-2009
Initial Filing Format Civil Proceeding
Case Number 09-cv-05172
Allegation Type Broker Dealer
Federal District Court New York, Southern District of New York

Violations Alleged

Exchange Act
• Sec 15(c)

Resolutions

First Resolution Date 03-Jun-2009

Related Documents:

LR-21066_09-cv-05172 03-Jun-2009 Litigation Release
SEC Finalises ARS Settlements With Bank of America, RBC and Deutsche Bank, Providing Over $6 Billion in Liquidity to Investors
The SEC "announced that it has filed complaints in the United States District Court for the Southern District of New York against Banc of America Securities LLC and Banc of America Investment Services, Inc. (collectively, Bank of America), RBC Capital Markets Corporation (RBC), and Deutsche Bank Securities Inc. (Deutsche Bank) alleging that the firms misled investors regarding the liquidity risks associated with auction rate securities (ARS) that they underwrote, marketed or sold."
2009-127_09-cv-05172 03-Jun-2009 Press Release--Civil Action
SEC Finalizes ARS Settlements With Bank of America, RBC, and Deutsche Bank
The SEC "announced finalized settlements with Bank of America, RBC Capital Markets, and Deutsche Bank to resolve SEC charges that the firms misled investors regarding the liquidity risks associated with auction rate securities (ARS) that they underwrote, marketed, or sold."

Other Defendants in Action:

RBC Capital Markets, LLC