The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Transamerica Financial Advisors broker/adviser William Byrd (CRD# 1334634). William Byrd has spent thirty years in the securities industry and has been registered with Transamerica Financial Advisors in Tampa, Florida since 2001. Previous registrations include Pruco…

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RBC Capital Markets was fined $1 million dollars on April 23, 2015 for failing to supervise brokers who were selling unsuitable reverse convertibles to customers. According to the Letter of Acceptance, Waiver and Consent (AWC) RBC Capital Markets failed to detect the sale of 364 reverse convertible transactions to approximately 218 RBC Capital Markets customers.…

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