FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046652401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RBC Capital Markets, LLC ("RBC," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. Arcuri, Jr. (CRD No. 2200431), Respondent. DISCIPLINARY PROCEEDING NO. 2017056688202 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January 2018, FINRA opened an investigation into Daniel J. Arcuri, Jr.'s ("Arcuri" or "Respondent") potential misuse of customer funds and undisclosed outside business

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057175001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven T. Yellen, Respondent General Securities Representative CRD No. 1281663 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Steven T. Yellen submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations