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Katherine Clark Of RBC Capital Markets, LLC Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Katherine Clark of RBC Capital Markets, LLC?

Katherine Clark

Katherine Clark (CRD #856235) who is currently registered with RBC Capital Markets, LLC and located in Chevy Chase, Maryland, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Katherine Clark was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Katherine Clark Customer Complaints

Katherine Clark has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint resulted in an arbitration award in favor of the investor. Two of the customer complaints were settled by Katherine Clark’s former employers in favor of the investors. Merrill Lynch Pierce Fenner and Smith denied a customer complaint and the customer did not take any action. The last customer complaint was denied by RBC Capital Markets and the customer has not yet taken any action.

Allegations Against Katherine Clark

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unauthorized trading, unsuitable investment recommendations and excessive trading.
  • Unsuitable purchase of corporate bond that was misrepresented.
  • Failure to follow customer instructions.
  • Failure to disclose risks associated with bond fund.
  • Breach of fiduciary duty, misrepresentations and nondisclosures resulting in arbitration award.

Katherine Clark Red Flags & Your Rights As An Investor

Of course, Katherine Clark did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Katherine Clark at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Katherine Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Katherine Clark

If you have questions about RBC Capital Markets, LLC and/or Katherine Clark and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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