Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
The company's underwriters were dropped from the proposed class action
Investor misunderstood difference between advisory and discretionary accounts, court found
Lawsuit claims advisors' payouts didn't include mandated vacation pay
Software updates caused various issues undermining market oversight
Former RBC DS executive seeking $3.9 million
Court finds no breach when advisor didn't "sell in May and go away"
In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers
Ex-rep sentenced to jail and ordered to repay firm
An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators