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May 25, 2015 2:51 AM ET

Capital Markets

Company Overview of RBC Capital Markets LLC

Company Overview

RBC Capital Markets LLC offers corporate and investment banking services to corporations, governments, and institutions. The firm’s services include public and private placement of debt and equity securities, strategic alliances, mergers and acquisitions advice, corporate finance, equity and debt underwriting, and structured and project finance. It also offers corporate credit, real estate advisory services, syndicated loans, equity research, sales and trading, risk management, asset securitization, fixed income, money market, and foreign exchange services. The company was founded in 1909 and is based in Toronto, Canada with additional offices in Spain, Netherlands, Israel, Hong Kong, Singap...

Royal Bank Plaza

200 Bay Street

Toronto, ON M5J 2W7


Founded in 1909





Key Executives for RBC Capital Markets LLC

Chairman and Co-Chief Executive Officer
Age: 57
Chief Financial Officer
Chief Operating Officer
Managing Director
Head of Commodities and Electronic Trading
Compensation as of Fiscal Year 2014.

RBC Capital Markets LLC Key Developments

RBC Capital Markets Presents at BioEquity Europe 2015, May-19-2015 09:30 AM

RBC Capital Markets Presents at BioEquity Europe 2015, May-19-2015 09:30 AM. Venue: InterContinental Vienna, Vienna, Austria. Speakers: Paul Tomasic, Managing Director.

The Financial Industry Regulatory Authority Orders RBC Capital Markets to Pay Fine and Restitution Totaling More than $1.4 Million for Unsuitable Sales of Reverse Convertibles

The Financial Industry Regulatory Authority (FINRA) announced that it has ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for supervisory failures resulting in sales of unsuitable reverse convertibles. FINRA found that RBC failed to have supervisory systems reasonably designed to identify transactions for supervisory review when reverse convertibles were sold to customers, in violation of FINRA’s rules as well as the firm’s own suitability guidelines. RBC established suitability guidelines for the sale of reverse convertibles setting specific criteria for customer investment objectives, annual income, net worth, liquid net worth and investment experience. Consequently, the firm failed to detect the sale by 99 of its registered representatives of 364 reverse convertible transactions in 218 accounts that were unsuitable for those customers. The customers incurred losses totaling at least $1.1 million. RBC made payments to numerous customers pursuant to the settlement of a class action lawsuit; FINRA ordered restitution to the remainder of affected customers. In settling this matter, RBC neither admitted nor denied the charges, but consented to the entry of FINRA’s findings.

Parallel Energy Hires Advisors To Consider Strategic Options

Parallel Energy Trust (TSX:PLT.UN) will undertake a process to explore and determine strategic alternatives to reduce indebtedness and maximize unit holder value. The alternatives that will be considered include complete sale, divestment of assets, sale of a significant asset of the Trust, merger or other business combination and alternative financing. Evercore Partners Inc. (NYSE:EVR) and RBC Capital Markets LLC have been appointed as financial advisor to work on the process.

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