Can I recover losses investing with RBC Capital Markets, LLC broker Edward Stike (CRD# 1439479)? He has been registered with LPL Financial LLC in Charleston, West Virginia, since 2022. Previously, he was registered with RBC Capital Markets, LLC in Charleston, West Virginia, from 2009 to 2022.
Edward Stike Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2022. “Customer alleges their accounts were invested in excessively risky and over-weighted equities and high yield bonds outside of their risk tolerance.” The customer is seeking $750,000 in damages, and the case is currently pending. The complaint was related to equity OTC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, RBC Capital Markets, LLC may be liable for investment or other losses suffered by Edward Stike’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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