PATRICK DENNIS ELLIOTT is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 175 PARFITT WAY SW, SUITE S200, BAINBRIDGE ISLAND, WA, 98110-2582.
PATRICK DENNIS ELLIOTT has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998
Disclosure History
PATRICK DENNIS ELLIOTT has 2 Disclosure Event(s).
Date: April 12, 2000 Category: Customer Dispute Allegations: CLAIMANT ALLEGES A PURCHASE BY MR. ELLIOTT'S SALES ASSISTANT WITHOUT AUTHORIZATION. THE SHARES WERE ULTIMATELY SOLD FOR A LOSS OF $32,750 WHICH CLIENT SEEKS IN DAMAGES. ADDITIONALLY, CLAIMANT IS SEEKING INTEREST OF 8% FROM 4/14/99 (TRADE DATE) UNTIL RESOLUTION. Damage Amount Requested: $35,375.00 Settlement Amount: $32,750.00
Date: June 28, 1999 Category: Customer Dispute Allegations: CLIENT CONTENDS HE WAS NOT ADEQUATELY INFORMED OF THE RISKS ASSOCIATED WITH CERTAIN HIGH YIELD BONDS. AFTER EXPERIENCING LOSSES IN THE BONDS,THE CLIENT NOW FEELS THE INVESTMENTS WERE UNSUITABLE. Damage Amount Requested: $22,378.00
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