Defendant Name:
RBC Capital Markets Corporation
Defendant Type:
Subsidiary of Public Company
Document Reference:
2009-127_09-cv-05172
Document Details
Legal Case Name
SEC v. RBC Capital Markets Corporation
Document Name
SEC Finalizes ARS Settlements With Bank of America, RBC, and Deutsche Bank
Document Date
03-Jun-2009
Document Format
Civil Proceeding
Case Number
09-cv-05172
Federal District Court
New York, Southern District of New York
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Enjoinment
Undertaking to Compensate Investors/Customers
Other Defendants in Action:
