Pennsylvania judge enforces temporary ban on client solicitation but delays process for moving the case to expedited hearings in Finra arbitration.
Connecticut branch manager now with Janney says she was effectively fired for “whistle-blowing” against sales practice violations and questionable ethics by brokers and sales associates.
Raleigh, N.C., team that had been with Merrill and Bank of America for 20 years, takes implied digs at the firm in statement approved by RBC.
Co-head of a seven-person group in Connecticut goes solo to a regional broker-dealer’s office that includes several alumni of the Thundering Herd.
Philadelphia-based firm hired four brokers with $2.1 million of production from two rivals for its first outpost in the southern state.
Three brokers were managing $288 million in client assets, mostly institutional, according to Janney.
Arbitrators prohibit duo who jumped to Janney Montgomery in May from contacting “inherited” clients until April 2019.
Court blocks $1.8 million team from soliciting clients they allegedly inherited from a former broker at their old firm.
Wirehouse asks court for restraining order against a producing manager and partner who allegedly contributed 40% of their former branch’s production.