MARK STEPHAN TRIMMER is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 6301 UPTOWN BLVD NE, SUITE 100, ALBUQUERQUE, NM, 87110-4132.
MARK STEPHAN TRIMMER has worked at RBC CAPITAL MARKETS, LLC since September 23, 2011
Disclosure History
MARK STEPHAN TRIMMER has 3 Disclosure Event(s).
Date: September 06, 2012 Category: Judgment / Lien Judgment/Lien Amount: $778.00 Judgment/Lien Type: Tax Broker Comment: please remove radio buttons for 7 A&B - this matter is still outstanding
Date: January 19, 2011 Category: Judgment / Lien Judgment/Lien Amount: $28,000.00 Judgment/Lien Type: Tax Broker Comment: OMNI (MY TAX ATTORNEY'S FIRM) HAS FILED AN OC WITH THE IRS. WE ARE WITHIN 90 DAYS OF A RESOLUTION WHICH WILL RESULT IN A RELEASE.
Date: November 23, 2009 Category: Customer Dispute Allegations: NEGLIGENCE AND PROFESSIONAL MALPRACTICE; VIOLATION OF BLUE SKY LAWS; UNFAIR PRACTICES; BREACH OF CONTRACT AND IMPLIED COVENANT OF GOOD FAITH; CONTROL PERSON LIABILITY; UNSUITABILITY; POOR INVESTMENT ADVICE; MISMANAGEMENT; NEGLIGENT SUPERVISION; RESPONDEAT SUPERIOR; BREACH OF FIDUCIARY DUTY Damage Amount Requested: $171,335.00 Settlement Amount: $50,000.00 09-05878
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