DENNIS JOSEPH FITZGERALD is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 6700 EAST PACIFIC COAST HIGHWAY, SUITE 280, LONG BEACH, CA, 90803-4291.
DENNIS JOSEPH FITZGERALD has worked at RBC CAPITAL MARKETS, LLC since September 07, 2017
Disclosure History
DENNIS JOSEPH FITZGERALD has 2 Disclosure Event(s).
Date: March 13, 2015 Category: Customer Dispute Allegations: CLIENT, NEW FINANCIAL OFFICER FOR THE LODGE, ALLEGES THAT INSTRUCTIONS TO TRADE IN THE ACCOUNT WERE TAKEN FROM UNAUTHORIZED PARTIES. CLIENT DOES NOT SPECIFY WHICH TRANSACTIONS WERE UNAUTHORIZED, NOR PROVIDE A SPECIFIC TIME PERIOD. (10/1/2013-03/13/2015)
Date: October 03, 1997 Category: Customer Dispute Allegations: DELIBERATE DECEPTION. INSURANCE/NON-VARIABLEANNUITIES. DAMAGES UNSPECIFIED. THE FIRM (PSI) HAS MADE AGOOD-FAITH DETERMINATION THAT DAMAGES, IF ANY, WOULD BE LESSTHAN $5,000.00. Broker Comment: COMPLAINT REJECTED. NO FURTHER ACTION.PLEASE ARCHIVE. DAMAGES ARE UNSPECIFIED BUT HAVEBEEN DETERMINED BY THE FIRM (PSI) IN GOOD FAITH TO BE LESS THAN$5,000.00. NOT A REPORTABLE EVENT. SEE ATTACHED LETTERS ANDINTERNAL ANALYSIS OF CLAIM. SEQUENT DRP #248406.
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