RBC Capital Markets Corp.

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  SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  July 27, 2012

  Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.

• RBC Advisor, Custodian Groups Hire Team to Serve RIAs, Indie Broker-Dealers

  By Joyce Hanson, AdvisorOne  |  September 29, 2010

  RBC Correspondent and Advisor Services announced Wednesday that they are adding a new team of four senior relationship managers with over 75 years of combined experience to support and drive business growth for RBC's RIA firms and independent broker-dealers.

• SIFMA Panel Discusses Fiduciary Duty for Brokers

  By Kathleen McBride, AdvisorOne  |  July 16, 2010

  Emotions were running high at the final breakout session of the day at the SIFMA Regulatory Reform Summit in New York.