Ross Lionel Gordon is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 4208 SIX FORKS ROAD, SUITE 1208, RALEIGH, NC, 27609-5755.
Ross Lionel Gordon has worked at RBC CAPITAL MARKETS, LLC since November 08, 2017
Disclosure History
Ross Lionel Gordon has 2 Disclosure Event(s).
Date: January 19, 2016 Category: Customer Dispute Allegations: Client alleges that investments were not suitable because of the client's "aversion for risk-taking" and expressed concern "over volatile investments." Client also alleges that investments did not perform as expected and "kept going down in value." (03/06/2015-01/07/2016) Settlement Amount: $10,000.00
Date: November 06, 2006 Category: Customer Dispute Allegations: NC RESIDENT WRITES THAT FA DID NOT FOLLOW INSTRUCTIONS REGARDING THE PRICE AT WHICH TO BUY AND SELL FORD BONDS; THAT SHE WAS NOT THE TRUSTEE AT THE RELEVANT TIME PERIODS AND THEREFORE THE TRADES WERE UNAUTHORIZED; THAT THE BONDS WERE UNSUITABLE AND OVERCONCENTRATED IN THE AUTO INDUSTRY; AND VARIOUS OTHER COMPLAINTS. DEMANDS $250,000 IN DAMAGES. Damage Amount Requested: $250,000.00 Broker Comment: TRADES WERE AUTHORIZED AND DONE ON INSTRUCTIONS OF CLIENT; COMMISSIONS WERE REASONABLE; EVERY BOND PURCHASED BY FA WAS PROFITABLE; ALL BONDS FROM PREVIOUS ACCOUNT WERE CALLED BY ISSUER, NOT SOLD BY FA; OVERALL ACCOUNT HAD AVERAGE EQUITY OF $160,000 FROM JANUARY 2001 THROUGH JANUARY 2004 AND HAD A $48,000 POSITIVE TOTAL RETURN, APPROXIMATELY 10% PER YEAR; CLIENT REMOVED DAUGHTER AS TTEE AND MADE HERSELF TTEE IN FEBRUARY 2002 LETTER SHE SENT TO BRANCH. NO WRONGDOING FOUND. CLAIM DENIED.
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