TIMOTHY CLIFFORD HAYES

TIMOTHY CLIFFORD HAYES is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 600 SUPERIOR AVENUE E., 23RD FLOOR, CLEVELAND, OH, 44114.

TIMOTHY CLIFFORD HAYES has worked at RBC CAPITAL MARKETS, LLC since March 13, 2009

Disclosure History

TIMOTHY CLIFFORD HAYES has 1 Disclosure Event(s).

Date: November 26, 2001
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT HAYES RECOMMENDED UNSUITABLE INVESTMENTS FOR CLAIMANT AND FAILED TO EXECUTE SELL ORDERS.
Damage Amount Requested: $500,000.00

Errors or Outdated Information?

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

OTHER BROKERS IN OH WITH DISCLOSURE EVENTS

To view the full report for TIMOTHY CLIFFORD HAYES, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

BrokerSearch Removal