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The Top SEC Settlements of 2011

By Joel Stonington - 2012-01-03T23:18:44Z

Photograph by Hemera Technologies/Getty Images

Company Symbol % Change
9 of 22

No. 13: RBC Capital Markets

<strong>Total Settlement:</strong> $30.4 million<br /><strong>Disgorgement:</strong> $8.4 million<br /><strong>Penalty: </strong>$22 million

Between June and December 2006, RBC Capital Markets negligently sold credit-default swap investments to five Wisconsin school districts, the <a href="">SEC alleged</a>. St. Louis financial firm Stifel Nicolaus was also named in the case. While RBC Capital Markets settled, Stifel Nicolaus is fighting the allegations, <a href="">according to Bloomberg</a>.