Month: March 2015

Challenges To SEC Use Of Administrative Proceedings Likely To Increase

By Jeffrey T. Petersen — posted in Securities Arbitration & Litigation on Friday, March 13, 2015.

Our blog post on February 12, 2015 detailed the SEC’s recent increase in use of administrative proceedings to seek civil…

RBC Wealth Management Closing International Unit

By Erwin J. Shustak — posted in Financial Industry Developments on Wednesday, March 11, 2015.

Financial Services Industry

After aggressively courting advisors with large international clienteles over the past year or so, RBC Wealth Management has done an…