The latest regulatory, disciplinary and criminal actions.
Patrick Dwyer, the $10-million-plus producer who “resigned” on Tuesday, was careful to obey all laws before making a $25,000 contribution to a Florida official, according to his lawyer.
Attorneys for Bennett filed a notice on Friday that they are seeking a review of the decision handed down late last month.
Schwab’s claim for an injunction comes as lawyers say non-solicitation disputes have mushroomed in the past year industry-wide.
Private client group advisor now with Morgan Stanley says he “vehemently denies” allegations of unsuitable trading and other charges that cost his former firm $14 million.
Virginia’s Eric Bartok, a Forbes best-in-stater said to have been producing more than $3 million, was dismissed for expense-account violations, Merrill said.
Former wirehouse advisor wins expungement of Raymond James’ allegation that it fired him for violating the Protocol for Broker Recruiting by having excess client information when he joined from Merrill Lynch.
Michigan woman, 63, asserts that she was railroaded over e-mails sent to Schwab’s RIA clients about company policies.
Former Johnson Controls unit president and wife alleged broker put variable annuities into their IRAs and opened 529 accounts for their adult children.
Lawyers for current and former customers refiled a complaint dismissed last month by a California judge that says Jones fraudulently shifted them to fee-based advisory accounts.