DAVID OCTAVIO SPINAR is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 6940, SUITE 400, LINCOLN, NE, 68510-2458.
DAVID OCTAVIO SPINAR has worked at RBC CAPITAL MARKETS, LLC since November 20, 2009
Disclosure History
DAVID OCTAVIO SPINAR has 2 Disclosure Event(s).
Date: November 22, 2010 Category: Customer Dispute Allegations: IN CONNECTION WITH THE SALE OF MEDICAL CAPITAL, CLAIMANTS ALLEGE A "SINGLE LIMITED CLAIM" FOR VIOLATION OF OHIO SECURITIES ACT. Damage Amount Requested: $6,000,000.00 Settlement Amount: $1,485,420.99 Broker Comment: THE REPRESENTATIVE HAS BEEN NAMED AS A DEFENDANT IN THIS CASE BECAUSE OF HIS FORMER CAPACITY AS AN OFFICER OF THE FIRM. HE NEVER HAD ANY PERSONAL DEALINGS WITH THE CLAIMANTS NOR DID HE EVER EXERCISE SUPERVISORY AUTHORITY WITH RESPECT TO THEIR ACCOUNTS OR THE ACTIVITIES OF THE REPRESENTATIVE FOR THEIR ACCOUNTS. THOSE SUPERVISORY RESPONSIBILITIES WERE SPECIFICALLY DELEGATED TO A NAMED SUPERVISOR IN THE REGIONAL SUPERVISION DEPARTMENT. 10/20/2011: THIS CLAIM WAS PART OF A GLOBAL SETTLEMENT BY SECURITIES AMERICA, INC. I WAS NOT ASKED TO NOR DID I CONTRIBUTE TO THE SETTLEMENT.
Date: November 22, 2006 Category: Customer Dispute Allegations: CLIENTS ALLEGE MR. SPINAR AS CHIEF COMPLIANCE OFFICER OF SAI FAILED TO ADEQUATELY SUPERVISE THE ACTIVITY OF REPS. [BROKER] AND [BROKER] FROM 1997-2003. Damage Amount Requested: $5,000.00 Broker Comment: UNSPECIFIED DAMAGES STATED, BUT REQUESTING RETURN OF CLIENT'S INITIAL PRINCIPAL AND INTEREST, MORE THAN $5000.00. THIS COMPLAINT HAS BEEN WITHDRAWN AS TO RESPONDENT DAVID SPINAR.
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