DIANE COSTELLO SCHAEFER is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1700 PENNSYLVANIA AVENUE NW, SUITE 700, WASHINGTON, DC, 20006-4721.
DIANE COSTELLO SCHAEFER has worked at RBC CAPITAL MARKETS, LLC since March 13, 2009
Disclosure History
DIANE COSTELLO SCHAEFER has 1 Disclosure Event(s).
Date: March 14, 2016 Category: Customer Dispute Allegations: Clients contend their accounts were not invested conservatively as they had requested during the 18 months their investments were with RBC beginnining in August 2014. They requested reimbursement of the managed account fees that were assessed. Damage Amount Requested: $8,846.00 Broker Comment: The client agreed to and was invested in a diversified portfolio of large capitalization stocks with a focus on above-average current income with potential for capital appreciation and increasing dividend income. The client transferred out during a market correction in January 2016, days before a market bottom. The account would have recovered in a few months had she simply held the portfolio. As a result, we believe the complaint is unwarranted.
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