RBC Accused Of Failure To Diversify Investment Portfolio

James Danielly Finley Jr. of Red Bank New Jersey a stockbroker currently registered with RBC Capital Markets LLC is referenced in a customer initiated investment related written complaint on April 4, 2018 in which the customer sought $50,000.00 in damages founded on accusations that Finley neglected to diversify the customer’s investment portfolio between February of 2010 and March of 2018 which resulted in the customer’s losses on closed-end funds.

FINRA Public Disclosure additionally confirms that on August 14, 2002, a customer filed an investment related complaint concerning Finley’s activities where the customer requested unspecified damages supported by allegations that while Finley was associated with Merrill Lynch, he failed to take the customer’s instructions into consideration relating to equity investments.

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