ERIC JOSEPH WERBLOW

ERIC JOSEPH WERBLOW is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 80 WASHINGTON STREET, BUILDING J, NORWELL, MA, 02061.

ERIC JOSEPH WERBLOW has worked at RBC CAPITAL MARKETS, LLC since November 11, 2005

Disclosure History

ERIC JOSEPH WERBLOW has 2 Disclosure Event(s).

Date: September 26, 2007
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THAT FINANCIAL ADVISOR MADE MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS.
Broker Comment: THE CLIENTS' ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED

Date: August 08, 2007
Category: Customer Dispute
Allegations: THE CLIENT CLAIMS THAT MR. WERBLOW FAILED TO FOLLOW HER INSTRUCTIONS, CAUSING HER TO LOSE $36,000.00.
Damage Amount Requested: $36,000.00

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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