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How Can I Sue RBC Capital Markets, LLC Financial Advisor Irwin Gerald Maisner?

Posted on Tuesday, May 9th, 2017 at 4:55 pm    

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Erez Law is currently investigating RBC Capital Markets, LLC financial advisor Irwin Gerald Maisner (CRD# 1094089) regarding unsuitable energy bonds. Maisner has been registered with RBC Capital Markets, LLC in Westport, Connecticut since 2014.

Many oil and gas companies have experienced price fluctuations over the past few years, which has put financial stress on the oil and gas industry. A supply glut in 2014 and 2015 led to some of the lowest prices the market has seen in recent years. In turn, securities values also dropped and many companies have declared bankruptcy.

Maisner has one pending customer complaint and two dismissed complaints, according to his CRD report. In October 2016, a former client filed a case alleging, “Trustee claims FA recommended unsuitable energy bonds in his time at two firms, Janney & RBC. The period at RBC was from 1/2015 to 6/2016.” The client is seeking $250,000 in damages and the case is currently pending.

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 may be liable for investment or other losses suffered by Maisner’s customers.

Erez Law represents investors in the United States for claims against RBC Capital Markets, LLC financial advisor Irwin Gerald Maisner, who is alleged to recommend an investment strategy concentrated in unsuitable energy bonds. If you were a client of RBC Capital Markets, LLC financial advisor Irwin Gerald Maisner or another firm, and 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.