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Peter Glowacki Fired from RBC Capital Markets for Alleged Policy Violations

Peter Glowacki (CRD #: 1156214), a broker formerly registered with RBC Capital Markets, allegedly violated multiple firm policies, according to his BrokerCheck record, accessed on April 12, 2023. Keep reading to learn more about his alleged conduct as a broker.

Termination from RBC Capital Markets

On February 21, 2023, Peter Glowacki was fired from RBC Capital Markets for allegedly violating firm policies related to order execution (including time and price discretion), electronic communications, and licensing and registration policies.

FINRA Rule 5310

FINRA Rule 5310 requires brokers to execute clients’ transactions promptly and to exercise due diligence in determining the best market for the transaction. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Peter Glowacki 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

He previously worked for the following firms:

  • RBC Capital Markets (CRD#:31194)
  • Dain Rauscher (CRD#:7600)
  • Smith Barney, Harris Upham & Company (CRD#:7059)

Kurta Law Can Help

If you worked with Peter Glowacki and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

 

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