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RBC Capital Markets Fires Lisa Lo After Allegedly Violating Firm Policies

Lisa Lo (CRD #3133313), a broker and investment advisor registered with Stifel, Nicolaus & Company, Incorporated, was fired by RBC Capital Markets, according to her BrokerCheck record, accessed on March 24, 2022. 

Termination Details

On December 27, 2021, RBC Capital Markets fired Lisa Lo after she allegedly violated the firm’s Time And Price Discretion Policy and Order Execution Policy.

The disclosure does not specify the nature of her violation; however, investors may entrust their brokers with the power to execute transactions on their behalf under certain circumstances. When a broker does not adhere to the terms of the time-and-price discretion policy and investment losses occur, an investor may be able to recover their losses through FINRA arbitration. 

FINRA Rules 2010 and 5310

  • Failure to follow customer instructions, both as directed and promptly, violates FINRA Rule 2010, which requires all registered members to observe high standards of commercial honor and just principles in their business dealings. 
  • FINRA Rule 5310 states that brokers must ascertain the best market and the best price for a transaction. 

Background Information

Lisa Lo has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

She is a registered broker in 22 states and is a registered investment advisor in Texas and Colorado.

Besides RBC Capital Markets and Stifel, Nicolaus & Company, Incorporated, Lisa Lo has also worked with Conseco Securities (CRD#:29367)

Kurta Law Can Help

If you suffered losses after working with Lisa Lo, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.