RBC
RBC Reels in Merrill Broker Managing $800 Million in Florida
The move came the same day as an $890 million-asset Merrill team that shifted to UBS in New York
Ex-Broker Loses Bid to Overturn Bar Over Alleged Theft of $1-Mln from RBC
Finra appeals panel said that the broker’s actions reflected “dishonesty” and did not grant him leniency for returning the money to RBC.
$3-Mln Duo Decamps from Morgan Stanley in NYC for RBC
The team, which had $450 million in client assets, moved Friday and is working from an RBC branch in Connecticut.
RBC Plucks $450 Million-AUM Nebraska Team from Wells Fargo
Led by 20-plus-year industry vets Jerold Doell Jr. and Douglas Kuszak, the four-person team joined RBC in Lincoln.
Team of Merrill Lifers with Billion-Dollar Book Jumps to RBC in Oregon
Four advisors in Portland had spent a combined 73 years with Merrill.
RBC to Pay More Than $863K to Settle Charges over Muni Bond Sales
The SEC said the firm misallocated municipal bond offerings to “flippers” at the expense of institutional and retail investors.
$2.6-Mln RBC Vet Returns to Wirehouse Realm with UBS in New Jersey
Broker, who started at Merrill Lynch in 1994, had been managing $500 million in assets at RBC, according to a source
42-Year Merrill Lifer and Son Move Their $500-Mln AUM Team to RBC
The father had logged 42 years at Merrill in Illinois, and the son, who ranked as a top next-gen broker on industry lists, had been there for nine.
Advisor Group Hires Former RBC Recruiting Chief Kimmell
Kristen Kimmell will lead recruiting for the six-firm independent broker group with a focus on luring breakaway brokers.
Billion-Dollar AUM Team Exits Wells After 18 Months For RBC
Duo had been generating $5.3 million in annual revenue at the time of their move to Wells in January 2020.
RBC Promotes Virtual Hiring Wiz to Head of Recruiting
Amanda Dolan helped develop and launch a virtual recruiting platform as part of a pandemic response—efforts that will “slingshot us forward as we return to normal,” she said.
