RBC Dominion Securities Inc. | Investment Executive https://www.investmentexecutive.com/post_company/rbc-dominion-securities-inc/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:29:55 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png RBC Dominion Securities Inc. | Investment Executive https://www.investmentexecutive.com/post_company/rbc-dominion-securities-inc/ 32 32 Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Rep’s trading was lucrative, but offside https://www.investmentexecutive.com/news/from-the-regulators/reps-trading-was-lucrative-but-offside/ Mon, 01 Sep 2025 16:17:31 +0000 https://www.investmentexecutive.com/?p=518806 Advisor sanctioned for extensive discretionary futures trading

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]]> Former rep sanctioned for risky discretionary trading https://www.investmentexecutive.com/news/from-the-regulators/former-rep-sanctioned-for-risky-discretionary-trading/ Mon, 07 Jul 2025 18:21:15 +0000 https://www.investmentexecutive.com/?p=514652 Clients lost millions on futures trading that generated large commissions

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]]> Former Bay Street titans in legal clash over OSC case https://www.investmentexecutive.com/news/from-the-regulators/former-bay-street-titans-in-legal-clash-over-osc-case/ Wed, 26 Feb 2025 11:00:39 +0000 https://www.investmentexecutive.com/?p=503299 Court tosses claim alleging the RBC DS execs pushed OSC to take enforcement action against Yorkton exec in 2001

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]]> The wrong way to retain clients https://www.investmentexecutive.com/news/from-the-regulators/the-wrong-way-to-retain-clients/ Tue, 18 Feb 2025 21:27:47 +0000 https://www.investmentexecutive.com/?p=502703 Ex-rep sanctioned for providing disgruntled clients with false portfolio reports

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]]> RBC DS sanctioned for trading rule breach https://www.investmentexecutive.com/news/from-the-regulators/rbc-ds-sanctioned-for-trading-rule-breach/ Mon, 30 Sep 2024 19:15:29 +0000 https://www.investmentexecutive.com/?p=493643 Block trade in interlisted stock was executed off-exchange without regulatory approval

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]]> Ex-rep’s crypto trading attracts SRO sanctions https://www.investmentexecutive.com/news/from-the-regulators/ex-reps-crypto-trading-attracts-sro-sanctions/ Tue, 02 Apr 2024 19:20:18 +0000 https://www.investmentexecutive.com/?p=483037 Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

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]]> Securities class action against mining company moves toward settlement https://www.investmentexecutive.com/news/from-the-regulators/securities-class-action-against-mining-company-moves-toward-settlement/ Mon, 08 Jan 2024 20:15:07 +0000 https://www.investmentexecutive.com/?p=478246 The company's underwriters were dropped from the proposed class action

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]]> B.C. court upholds ruling in advisor’s favour https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-ruling-in-advisors-favour/ Fri, 11 Aug 2023 19:29:56 +0000 https://www.investmentexecutive.com/?p=469969 Investor misunderstood difference between advisory and discretionary accounts, court found

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]]> Court certifies advisor vacation pay class action against RBC https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-advisor-vacation-pay-class-action-against-rbc/ Tue, 03 Jan 2023 19:16:52 +0000 https://www.investmentexecutive.com/?p=458064 Lawsuit claims advisors' payouts didn't include mandated vacation pay

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