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RBC Capital Markets Fires William Notrica After Allegedly Violating Firm Policies

Apr 29, 2022 Fired Brokers

William Notrica (CRD #: 817537), a broker and investment advisor registered with Aegis Capital Corp, was fired by RBC Capital Markets, according to his BrokerCheck record, accessed on April 17, 2022. 

Termination Details

On January 20, 2022, RBC Capital Markets fired William Notrica after he allegedly violated the firm’s Time And Price Discretion Policy and Order Execution Policy.

The disclosure does not specify the nature of his 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 time-and-price discretion and investment losses occur, an investor may be able to recover their losses through FINRA arbitration. 

FINRA Rules 2010 and Rule 408T 

  • FINRA Rule 2010, requires all registered members to observe high standards of commercial honor and just principles in their business dealings. 
  • FINRA Rule 408T states that time-and-price discretion is only in effect in a non-discretionary trading until the end of the trading day. 

Investor Disputes 

William Notrica has eight investor disputes on his BrokerCheck record. 

Background Information

William Notrica 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 5 – Interest Rate Options Examination
  • PC – AMEX Put and Call Exam
  • Series 7 – General Securities Representative Examination
  • Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)
  • Series 4 – Registered Options Principal Examination

He is a registered broker in 12 states and a registered investment advisor in California.

Besides RBC Capital Markets and Aegis Capital Corp, William Notrica has also worked with the following firms:

  • Wachovia Securities CRD#:19616)
  • Bateman Eichler, Hill Richards, Incorporated (CRD#:76)
  • Wagenseller & Durst (CRD#:867)
  • Paine, Webber, Jackson & Curtis (CRD#:8174)
  • Blyth Eastman Dillon & Co. Incorporated (CRD#:6361)

Kurta Law Can Help

If you have worked with William Notrica and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or 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 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.