GEORGE JOHN FENEIS

GEORGE JOHN FENEIS is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 650 FROM ROAD, SUITE 151, PARAMUS, NJ, 07652-3517.

GEORGE JOHN FENEIS has worked at RBC CAPITAL MARKETS, LLC since February 22, 2012

Disclosure History

GEORGE JOHN FENEIS has 1 Disclosure Event(s).

Date: July 11, 2005
Category: Customer Dispute
Allegations: BREACH OF CONTRACT, MISMANAGEMENT, BREACH OF FIDUCIARY DUTY, EXCESSIVE AND UNSUITABLE TRADING FROM JULY 1, 1998 THROUGH SEPTEMBER 30, 2003.
Damage Amount Requested: $500,000.00
Settlement Amount: $46,000.00

More Information

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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.

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