Heather L Hardee (CRD#5435385) and RBC CAPITAL MARKETS, LLC

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Heather L Hardee (CRD#5435385) regarding allegations made regarding the following:

Claim(s) Made Against Heather L Hardee:

Claim Date: 3/30/2020

“Client claims that emails sent prior to the transfer of his accounts were sell orders which should have been executed and that RBC is responsible for the performance of his investments after he transferred his accounts to another firm. Time frame is 2/3/20 to 2/10/20.”

This claim, as of this posting, is currently Denied.

See more information on FINRA’s BrokerCheck site for Heather L Hardee.

Did you have a negative experience with Heather L Hardee?

If you are a former client of Heather L Hardee and RBC CAPITAL MARKETS, LLC from HOUSTON, TX, and have encountered any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. want to speak with you about the possibility of pursuing a claim. Brokerage firms have a duty to oversee all of their registered representatives, including Heather L Hardee, and ensure that they follow all securities regulations, rules, and internal policies. If a brokerage firm fails in this duty, it may be held accountable for investment losses sustained by customers due to a lack of supervision.

The Securities Lawyers have recovered millions of dollars for investors across the United States and are currently investigating the possibility of representing individual or group investors who have suffered losses. If you were a customer of Heather L Hardee and RBC CAPITAL MARKETS, LLC and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.