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Browse: Home / Suitability

Suitability

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

SEC alleges misconduct, inadequate disclosures in the sale of unsuitable investments to five Wisconsin school districts.

Posted in SEC, Top | Tagged Suitability

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