WILLIAM EDWIN CATES 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.
WILLIAM EDWIN CATES has worked at RBC CAPITAL MARKETS, LLC since May 04, 2009
Disclosure History
WILLIAM EDWIN CATES has 2 Disclosure Event(s).
Date: May 10, 2004 Category: Customer Dispute Allegations: ALLEGED BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, UNSUITABILITY, VIOATIONS OF SECURITIES LAWS AND UNAUTHORIZED TRADING BTWN. 3/01-5/04. Damage Amount Requested: $60,000.00 Settlement Amount: $7,500.00 Broker Comment: FC WAS DISMISSED AS PART OF SETTLEMENT. HE DID NOT CONTRIBUTE IN ANY WAY TO THE SETTLEMENT AND DENIES ANY LIABILTY. S.S.B. SETTLED DIRECTLY WITH CLAIMANT. THIS IS BELOW REPORTABLE CRITERIA AND SHOULD BE ARCHIVED.
Date: July 25, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO THE SALES OF MUTUAL FUNDS. MAY 2002. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENTS CLAIM WAS DENIED.
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