Broker who is now with Wells Fargo claimed military leave action protection among counterclaim arguments in which he sought up to $9 million in damages.
Boston brokers Paul Roche and Christopher Bayles, with two associates, resigned from the wirehouse on Tuesday to join the expanding U.S. brokerage franchise of Royal Bank of Canada.
Michael Holycross, a Michigan advisor abruptly fired in June, is contacting public pension plans and other clients for business out of Florida-based AndCo Consulting.
After hurried departure from his $3.8 billion-asset wirehouse team in June, a pioneer of “institutional consulting” sets up Halite Partners in Columbus, Ohio.
Team with outpost in Boca Raton generated $3.3 million in production in last 12 months, Raymond James said.
Ed Butowsky, a former Morgan Stanley and Bear Stearns broker who now runs an independent advisory firm, denies lawsuit allegations that he helped President Trump fabricate a Russia hacking story.
A 21-year veteran who has worked on a team led by two partners with 52 years of experience each, is accused with an associate of misappropriating client assets.
The complaints were old, only one was settled and the firms didn’t care but the arbitrator wouldn’t clean the record.
A former broker in Los Angeles who was dismissed along with her manager last year alleges a “sexually-charged and hostile” work environment at her Santa Monica branch.