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Browse: Home / 2011 / September / 28 / SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts

SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts

By Securities Docket on September 28, 2011, 1:09 pm

The Securities and Exchange Commission today charged RBC Capital Markets LLC for misconduct in the sale of unsuitable investments to five Wisconsin school districts and its inadequate disclosures regarding the risks associated with those investments.

Read more: SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts — SEC Press Release

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Posted in SEC, Top | Tagged Suitability

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