Tagged with "RBC"

Former Advisor Fails To Reverse Bar After Alleged $1 Million Theft From RBC

Posted on October 26th, 2021 at 1:47 PM
Former Advisor Fails To Reverse Bar After Alleged $1 Million Theft From RBC

A former RBC Wealth Management advisor lost his bid to reverse an industry bar, according to an appellate decision issued by the Financial Industry Regulatory Authority (FINRA).

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Former RBC Advisor Suspended for Preparing to Inherit $4 Million from Client

Posted on June 18th, 2021 at 10:44 AM
Former RBC Advisor Suspended for Preparing to Inherit $4 Million from Client

Clark Cleary, a 26-year industry veteran in Maryland, has agreed to a one-year suspension and $10,000 fine after the advisor allegedly failed to disclose that he was earmarked as executor as well as the beneficiary of a late client’s estate.

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RBC Advisor Settles Collusion Probe

Posted on November 7th, 2014 at 9:00 AM

The RBC has agreed to pay a large amount in restitution to settle a collusion probe while also promosing not to use anti-competitive practices in the future.

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TESTIMONIALS

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Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. We will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

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