Displaying 108 results
Finra panel awards $212,000 to ex-client of RBC
Finra arbitration panel awards estate of former RBC client $212,000 for alleged elder abuse and unsuitable trades.
RBC to pay $560,000 for transferring retiree’s pension
Finra panel says Wyoming couple lost right to receive monthly benefits.
Adviser managing $250 million in assets joins Raymond James from RBC
Craig Decker and Emma Sterling join Alex. Brown, a division of Raymond James.
Why investors may be overlooking the benefits of impact investing
Investing in local communities allows investors to foment meaningful change, providing not only reliable economic returns, but personal ones as well.
RBC Wealth Management recruits $1 billion adviser team from Morgan Stanley
The Evergreen Group joins RBC's office in San Antonio
Financial advisers, analysts shrug off recession fears
Meager economic growth and political fear-mongering aside, financial advisers shouldn't be overly concerned about the threat of a U.S. recession.
The biggest adviser moves for the fourth quarter 2015
Tracking the more than $26 billion in AUM that changed firms late in 2015.
RBC, City National deal marries bank and brokerage
The $5.4 billion deal could have RBC's regional wealth management business looking more like a wirehouse or private bank than a regional firm.
RBC’s U.S. wealth management CEO John Taft is retiring
Has led the bank's wealth management unit since 2005.
Industry aims to ‘change the narrative’ in bid for NextGen advisers
A group of executives and officials representing nearly a dozen firms in the industry gathered in the InvestmentNews office in Chicago July 26 specifically to discuss their collective needs — and plans — to develop the next generation of financial advisers.
Massachusetts suing RBC Capital, rep over leveraged ETF sale
Massachusetts' top securities regulator is suing RBC Capital Markets LLC and one of its former registered representatives over the sale of leveraged exchange-traded funds, saying they sold them to clients who didn't understand how the investments worked.
RBC may use U.S. sale proceeds on wealth management
Royal Bank of Canada may use proceeds from the $3.62 billion sale of its money-losing U.S. consumer bank to expand in global asset management.
RBC Wealth Management boss: We’re not interested in big acquisitions
Despite talk of possible purchase of Morgan Keegan, Taft says bank not eyeing 'transformational deals'
Raymond James picks up $150M team from RBC
Raymond James Investment Advisors has landed a $150 million in assets team from RBC Wealth Management.
Finra fines RBC Wealth unit over brokers’ sales of ‘unsuitable’ investments
RBC Wealth Management unit will pay $690,000 to resolve a brokerage regulator's claims that a U.S. unit sold unsuitable financial products to elderly clients and others with modest net worth.
RBC seeks custodial niche on high end
Now that it has completed its acquisition of J.P. Morgan Securities Inc.'s RIA custody business, RBC Advisor Services is gunning for assets from advisers and breakaway brokers.
RBC Wealth Management nabs duo from Stifel Nicolaus
RBC Wealth Management continues to add financial advisers from competing brokerages and has now recruited a two-person team from Stifel Nicolaus, a subsidiary of Stifel Financial Corp.
RBC grabs $300M pair from Morgan Stanley Smith Barney
A duo of veteran financial consultants that have advised on $300 million in client assets has joined RBC Wealth Management from Morgan Stanley Smith Barney, RBC said in a statement today.
With an eye on U.S. expansion, RBC makes key exec appointment
RBC Capital Markets, the investment banking arm of Royal Bank of Canada, announced Tuesday the appointment of Blair Fleming as head of U.S. investment banking.
RBC lures $450 million duo from U.S. Trust
RBC Wealth Management has recruited a pair of financial advisers from US Trust Wealth Management, where they ran some $450 million in client assets.
