J.P. Morgan Private Bank advisor in San Francisco and Chase Private Client advisor in Houston left JPM in the last two weeks for independent advisory firms, while a UBS “Best Next-Gen” broker in Los Angeles and a Wells broker in Kansas have set up their own RIAs.
J.P. Morgan filed to block a bank-based broker in Florida who left three weeks ago from contacting clients about joining her at UBS Wealth Management USA.
A divided court panel in California ruled that Finra arbitrators violated procedure by refusing to delay hearings to accommodate the broker’s paternal leave schedule.
A top-ranked New York City advisor with 50 years of experience and a $2-billion book of business was dismissed for allegedly using personal email for business purposes.
Company veteran James Lansing replaces Mike Lee, the former New York regional director who left for West Coast rival First Republic in March.
Former Chase Private Client broker in Indiana allegedly moved $27 million in assets since leaving the bank last month.
Broker in Aventura, Florida, who left JPMorgan for UBS agreed to a preliminary injunction on the same day that Fidelity sought an injunction against Morgan Stanley and a broker it hired in Palm Beach Gardens.