GARY KEITH MACPHERSON

GARY KEITH MACPHERSON is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1918 8TH AVENUE, SUITE 3600, SEATTLE, WA, 98101-1244.

GARY KEITH MACPHERSON has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998

Disclosure History

GARY KEITH MACPHERSON has 2 Disclosure Event(s).

Date: April 10, 2000
Category: Customer Dispute
Allegations: CLIENTS CONTEND THAT MR. MACPHERSON CONVINCED THEM TO INVEST THEIR RETIREMENT ASSETS IN HIGH RISK SECURITIES THAT WERE CONTRARY TO THEIR STATED OBJECTIVES. THEY FURTHER ASSERT THAT MR. MACHPERSON MISREPRESENTED THE RISKS OF THESE INVESTMENTS. ACCOUNTS AT DAIN RAUSCHER INC. WERE OPENED IN 1995.
Damage Amount Requested: $400,000.00
Settlement Amount: $88,000.00

Date: May 29, 1979
Category: Regulatory

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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