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Company: RBC Dominion Securities Inc.

39 results found

Ex-rep’s crypto trading attracts SRO sanctions

Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

Securities class action against mining company moves toward settlement

The company's underwriters were dropped from the proposed class action

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

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Court certifies advisor vacation pay class action against RBC

Lawsuit claims advisors' payouts didn't include mandated vacation pay

RBC DS admits order-marking failures

Software updates caused various issues undermining market oversight

RBC Bank branch stock photo

B.C. court sends wrongful dismissal suit against large Canadian bank to Hong Kong

Former RBC DS executive seeking $3.9 million

Discretion proves better part of valour for advisor

Court finds no breach when advisor didn't "sell in May and go away"

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

RBC Dominion Securities fined $350K for supervisory failings

In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers

  • By: IE Staff
  • July 27, 2021 July 27, 2021
  • 13:45

Former advisor heads to jail for fraud

Ex-rep sentenced to jail and ordered to repay firm

Rep fined, suspended for misconduct

An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators