Rebecca Glasgow Allegedly Failed to Disclose Fees

Rebecca Glasgow (CRD #: 4720346), a broker registered with RBC Capital Markets, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on April 29, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Dispute 

On February 22, 2024, an investor alleged that Rebecca Glasgow alleged that Rebecca Glasgow did not act in his best interest by failing to disclose fees and making statements that were misleading or false. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts, such as fees associated with an investment, violates this rule.

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of Regulation Best Interest also violate this rule. 

Background Information 

Rebecca Glasgow has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 

She is a registered broker in 47 states, D.C., and Puerto Rico. She is also a registered investment advisor in Georgia and Texas. 

During her 19 years of experience, Rebecca Glasgow has registered with seven firms: 

• RBC Capital Markets (CRD #: 31194) 
• UBS Financial Services (CRD #: 8174) 
• Mason Investment Advisory Services (CRD #: 111113) 
• Mason Securities (CRD #: 12967) 
• Lincoln Financial Advisors Corporation (CRD #: 3978) 
• The Lincoln National Life Insurance Company (CRD #: 2580) 
• Quick & Reilly (CRD #: 11217) 

Kurta Law Can Help 

If you have worked with Rebecca Glasgow and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.