Brian Wurdemann, Formerly with RBC Capital Markets, Barred by FINRA

NEW YORK, NY

Did you lose money with financial advisor Brian Wurdemann, formerly with RBC Capital Markets in New York, New York?  Mr. Wurdemann was barred by FINRA after he failed to comply with an arbitration award, and was sued by his former brokerage firm, RBC Capital Markets.

Brian Wurdemann is also the subject of a recent customer complaint.  The complaint alleges that the customer provided a loan to Wurdemann, and that he failed to repay the loan as promised.  Generally, financial advisors are not allowed to borrow money from customers, with limited exceptions.  Wurdemann was also the subject of seven other customer complaints during his career in the securities brokerage industry.

Brian Wurdemann had worked with RBC Capital Markets in New York City from May 2017 to May 2022.  He was also the subject of a FINRA investigation in November 2022 after he failed to respond to a FINRA investigation.

FINRA Rule 8210 mandates that financial advisors respond to FINRA investigations.  In addition, Brokerage Firms must adequately supervise the conduct of its advisors, per FINRA Rule 3110.

Our securities arbitration law firm represents clients all over the country, including investors in New York.  We have recovered millions of dollars for investors against numerous firms, including against RBC Capital Markets.

View Wurdemann, b BrokerCheck 4.19.23

If you lost money with Brian Wurdemann or RBC Capital Markets, please Contact Us at 206-795-5798 for a free evaluation of your case.