RY Royal Bank of Canada

The law firm of Securities Fraud Attorney Mark A. Tepper announced today that an 80-year-old retired secretary who alleged her broker took advantage of her vulnerability by repeatedly violating FINRA rules and state law, has been awarded all investment losses plus interest, attorneys’ fees and arbitration filing fees by a FINRA Arbitrator.

“We’re very pleased with this award," Mr. Tepper said. "This was a small case that wouldn't interest a lot of lawyers, but for the client to get 100% of the recovery without having to pay fees is gold for her and very satisfying for our law firm which fights to recover losses for the individual investor who is often retired and dependent on their savings.”

The Mark Tepper law firm which represented the retiree, had filed the Claim against RBC Capital Markets, the U.S. broker-dealer arm of Royal Bank of Canada [NYSE: RY]. The Claim alleged that RBC Capital Markets broker, James M. Earl, told the retiree that her irreplaceable funds were in good investments, “when, in fact, he placed her in harm’s way” by recommending high-risk unsecured Senior Notes from two oil and gas companies – Linn Energy and BreitBurn Energy Partners.

If you have information related to the Claim against RBC Capital Markets or James M. Earl, or your broker made unsuitable recommendations, contact attorney Mark Tepper at askmark@marktepper.com or call (954) 961-0096 for a free case evaluation from the Mark A. Tepper law firm. “Investors who believe they’ve been defrauded should always investigate their legal rights to determine the merits of potential claims,” Mr. Tepper said.

About Mark A. Tepper, P.A. (MarkTepper.com)           Attorney Mark A. Tepper is the former Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities. He has earned the reputation of “Investor Advocate” while practicing law for over 40 years representing individual investors. FINRA arbitrators have upheld stockbroker fraud claims filed by Mr. Tepper against many brokerage firms. A member of the Florida, New York and California Bars, Mr. Tepper is peer-reviewed for 18 consecutive years, AV PREEMINENT® for ethical standards and legal ability, the highest rating of lawyers in the Martindale-Hubbell Law Directory.

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