RBC
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.
Merrill Drops TRO Bid After Seizing iPads from RBC Team in Maryland
Less than a week earlier, Merrill asked a federal court in Maryland to stop the team, which defected from the wirehouse on June 3, from soliciting clients and to order them to return any customer contact information they took to their new firm.
Finra Suspends Ex-RBC Broker Who Stood to Inherit $4 Million from Customer
Maryland broker receives one-year suspension and $10,000 fine after an anonymous letter to RBC identified the 26-year industry veteran in Maryland as an executor and beneficiary of his late client’s estate.
Merrill Sues RBC Brokers Who Allegedly Used iPads to Photograph Client Lists
In its bid for a temporary restraining order, the wirehouse also cites the team’s plan to solicit 13 bank-referred clients who are not subject to the protections of the Protocol for Broker Recruiting.
UBS Seeks TRO Against Defector Who Led $7.6-Mln Team to RBC
It’s at least the second time in less than a month that UBS has sought to handcuff advisors who bolted.
RBC Hires UBS Team with $1.6-Bln AUM, Managers from Morgan Stanley and Wells
New Jersey team includes four advisors and three associates and has a heavy focus on institutional consulting, according to RBC.
RBC Hires Wells Fargo Brothers with $460-Mln Book in Massachusetts
Duo joined RBC in Wellesley on Tuesday after 13 years at Wells, according to BrokerCheck records.
RBC Hires UBS Team in Virginia with $900-Million Book
Three brokers and four support staff are opening a new office for RBC in Roanoke.
RBC Scores $2 Billion-Asset Merrill Team in Chicago Suburbs
The eight-person team led by veteran wirehouse brokers Thomas A. Paulson, William “Tuck” Holman and Steven E. Gatto, left for RBC on Thursday.
RBC, Stifel Add Merrill Lifers in NY, NM
Broker who began his career with Merrill in 1995 after graduating from college said the pandemic presented an opportunity for a “fresh start.”
