21-02439(3).pdf
Order to confirm
2015046503001 RBC Capital Markets LLC CRD 31194 AWC vr.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2015046503001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: RBC Capital Markets, LLC (Respondent)
Member Firm
CRD No. 31194
Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
20-02486.pdf
Consolidated with 20-02641
20-02641.pdf
Consolidated with 20-02486
2024081446201 Andrew J. Egber CRD 1894585 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081446201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Andrew J. Egber (Respondent)
General Securities Representative
CRD No. 1894585
Pursuant to FINRA Rule 9216, Respondent Andrew J. Egber submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.