JOSEPH SAMUEL MOONEY is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at SIX TOWER BRIDGE, 181 WASHINGTON STREET, SUITE 500, CONSHOHOCKEN, PA, 19428-2000.
JOSEPH SAMUEL MOONEY has worked at RBC CAPITAL MARKETS, LLC since February 03, 2003
Disclosure History
JOSEPH SAMUEL MOONEY has 2 Disclosure Event(s).
Date: February 12, 2002 Category: Customer Dispute Allegations: PENNSYLVANIA RESIDENT COMPLAINS OF FAILURE TO SUPERVISE ACCOUNTS WHICH WERE TRADED BY HER HUSBAND, AND WHICH SUSTAINED TOTAL NET LOSSES OF APPROXIMATELY $900K IN 2000 AND 2001 DURING PERIOD OF HISTORIC MARKET DOWNTURN. Damage Amount Requested: $900,000.00 Broker Comment: DENIED FAILURE TO SUPERVISE. DENIED CLIENT'S CLAIM.
Date: May 03, 1995 Category: Customer Dispute Allegations: MISREPRESENTATION, OMMISSION OFFACT, BREACHOF FIDUCIARY DUTY, CHURNING. MUNICIPAL BONDS, GOVERNMENTSECURITIES, LIMITED PARTNERSHIPS, REAL ESTATE INVESTMENT TRUST.ACTUAL/COMPENSATORY DAMAGES ASKED AMOUNT OF $75,740.41, JOINTLYAND SEVERALLY. Settlement Amount: $35,000.00 Broker Comment: MATTER WAS SETTLED IN THE AMOUNT OF $35,000WITHOUT ANY INDIVIDUAL CONTRIBUTION.
More Information
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