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Ameriprise adds $525M team from RBC to its independent channel
The Washington team was attracted to the autonomy and financial planning capabilities the firm offered.
Scrutiny of ESG investments heralds better days ahead, managers say
Tough examination of loosely regulated funds with higher environmental, social and governance standards could help the industry, sustainable fund managers say.
RBC rep managing $460 million moves to Raymond James
Matt Vanden Heuvel and his team operate as Vanden Heuvel Wealth Management of Raymond James in Appleton, Wisconsin.
RBC inks portfolio management deal with Addepar
The Addepar platform tracks how investment portfolios perform across asset classes by aggregating data from client portfolios and overall market performance.
Finra slaps RBC with $1 million in penalties over bond sales
The regulator says the firm failed to review more than 100 accounts for junk-bond concentrations.
RBC to pay SEC $800,000 for muni offering violations
The agency says the firm favored ‘flippers’ over institutional and retail clients when it allocated newly issued municipal bonds.
Massachusetts fines RBC $200,000 over failure to supervise
Regulator charges the firm failed to act on a former broker who was loading customer accounts up with energy sector master limited partnerships.
SEC orders RBC to pay $3.9 million over share-class disclosure
The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees
