RBC Capital Stockbroker Fired For Unauthorized Transactions

money case 163495 1280 - RBC Capital Stockbroker Fired For Unauthorized Transactions

Jannet Siegle Carpien (also known as Jannet Helen Carpien and as Janet Siege Carpien) of Washington District of Columbia a stockstockbroker formerly registered with RBC Capital Markets LLC has been discharged by the firm on August 2, 2018 based upon allegations that Carpien failed to abide by the firm’s policy when she effected an unauthorized transaction in a customer’s account.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that Carpien is referenced in a customer initiated investment related written complaint in which the customer requested unspecified damages supported by accusations that a security had been sold from the customer’s investment portfolio without the customer’s permission while Carpien was associated with Ferris Baker Watts LLC or Smith Barney.