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Preferred Securities

September 09, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
December 15, 2023 Pursuing Claims Against Theresa Allen of RBC Capital for Unsuitable First Republic Sales
September 07, 2023 Failed Bank First Republic Accused of Issuing Shares Shortly Before Going Bankrupt, Resulting in Multi-Million Dollar Losses
April 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures
July 31, 2019 Eric Nichols Suspended for Settling Customer Complaint Away from Morgan Stanley
August 28, 2014 Citigroup Fined $1.85 Million, Ordered to Pay $638,000 Restitution for Non-Convertible Preferred Securities Violations