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Marc Robert Friedson formerly with RBC Capital Markets, LLC Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Marc R. Friedson formerly with RBC Capital Markets, LLC?

Marc Friedson (CRD #1178838) who was formerly registered with RBC Capital Markets, LLC and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets, LLC, Marc Friedson was associated with5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

RBC Capital Markets, LLC Broker Misconduct

In his career, Marc Friedson has been the subject of 9 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. 6 of Marc Friedson’s 9 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Marc Friedson’s former employer RBC Capital Markets, LLC for investment losses caused by his alleged misconduct.

Allegations Against Marc Friedson

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

  • Claimants alleged that their financial advisor recommended unsuitable investments in Puerto Rico bonds and recommended that they hold an unsuitable level of concentration and such bonds.
  • Client alleged that Marc Friedson made unsuitable recommendations that led to an overconcentration in the energy sector and municipal bonds.
  • Customers allege recommendations of Puerto Rico bonds and Lynn Energy were unsuitable investment recommendations.
  • Claimants alleged unsuitable investment recommendations to purchase various corporate bonds.
  • Client alleged unsuitable in unauthorized transactions.
  • Customer allege that Marc Friedson recommended an unsuitable transaction in PLMIV, a Limited partnership.

Marc Friedson Red Flags & Your Rights As An Investor

Of course, Marc Friedson 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 Marc Friedson at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Marc Friedson 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 supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

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

If you have questions about RBC Capital Markets, LLC and/or Marc Friedson 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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