• RBC Fixed to Floating Rate Notes CUSIP: 78010UWK9
• Former RBC broker barred for not complying with FINRA probe
• Investigation into Samuel Kluft Koltun of RBC
• Investigation into Lisa Lowi Formerly of Janney Montgomery Scott and RBC Capital Markets
• RBC Capital Markets Agrees to $450,000 Settlement with New Jersey Regulator For Failure to Review Accounts Following $19 Million Life Settlement Ponzi Scheme