Tag: RBC
FINRA Fines and Suspends Former Merrill Lynch Adviser
Gordon Scott Wallace, a former Merrill Lynch Adviser, was suspended and fined by the Financial Industry Regulatory Authority for improperly removing nonpublic personal customer...
FINRA Charges Former RBC Analyst with Submitting Phony Expenses
The Financial Industry Regulatory Authority has started disciplinary proceedings against former RBC Capital Markets analyst, Ji Jun Yang, who is accused of charging approximately...
Royal Bank of Canada Affiliate Launches New Closed-End Interval Fund
City National Rochdale, a direct subsidiary of City National Bank – an affiliate of the Royal Bank of Canada, has launched the City National...
RBC Partners with Artivest to Launch Digital Alts Platform
RBC Wealth Management U.S., a full-service wealth management firm, has launched a new digital alternative investment platform for high-net worth clients.
Developed in partnership with...
