ARTHUR EDWARD MCCARTHY is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 222 ROSEWOOD DRIVE, SUITE 510, DANVERS, MA, 01923-4519.

ARTHUR EDWARD MCCARTHY has worked at RBC CAPITAL MARKETS, LLC since March 09, 2002

Disclosure History

ARTHUR EDWARD MCCARTHY has 1 Disclosure Event(s).

Date: August 13, 2017
Category: Customer Dispute
Allegations: Client expresses dissatisfaction with the performance of his account and he claims that individual investments which did not perform well were not consistent with his goal for his account. Time frame is 7/1/2014 to 8/13/2017.
Damage Amount Requested: $30,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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