RBC Dain Rauscher Inc. Mutual Fund NAV Transfers

Remediation Information

 

This case is closed. You may review eligibility and related claims information for reference only.

 

Who is eligible for remediation?
Clients of RBC Dain Rauscher Inc. (RBC Dain) who purchased shares of mutual funds during the period of January 2002 through July 31, 2004, and qualified for, but did not receive, the benefit of an NAV Transfer Program, subject to certain exclusions.

If I am eligible, when can I expect to be remediated?
The settlement provides that the remediation will be completed by April 12, 2007. The firm will also establish a response team to handle customer inquiries, and will provide you with contact information.

What options are available to investors?
The remediation plan does not foreclose your ability to pursue arbitration or mediation if you believe you have suffered losses. You should consult an attorney as to your rights.

Additional Information