Former RBC Capital Markets, LLC Broker William Notrica Accused of Unsuitable Investment Recommendations

RBC Capital Markets

Erez Law is currently investigating former RBC Capital Markets, LLC broker William Notrica (CRD# 817537) regarding unsuitable investment recommendations. He has been registered with Aegis Capital Corp. in Portland, Oregon, and San Juan Capistrano, California, since 2022. Previously, he was registered with RBC Capital Markets, LLC in Newport Beach, California, from 2004 to 2022, when he was terminated regarding, “individual was found to be in violation of the firm’s time and price discretion policy and order execution policy.”

William Notrica Customer Complaints

He has been the subject of eight customer complaints between 2000 and 2023, four of which were denied, according to his CRD report. The most recent complaint was regarding: 

April 2023. “Customer alleges unsuitable investments and unreasonably high commissions and fees.” The case is currently pending. The complaint was regarding equity OTC and unit investment trust (UITs), and it took place while he was registered with RBC Capital Markets, LLC.

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 William Notrica’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.