Stoltmann Law Offices is investigating Robert O’Keef, a former registered representative with RBC Capital Markets. He entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) and was accused of exercising discretion in four customer accounts, without obtaining prior written authorization from the customers. This is against securities rules and regulations. He was accused of exercising discretion while effecting approximately 654 transactions in the securities accounts of four RBC customers. For this he was fined $5,000 and suspended for 15 business days from the industry. If you invested money with Robert O’Keef, please call us today to discuss your options of suing his former firm, RBC Capital Markets, for investment losses.
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