This Week’s Top Stories: Edward Jones Prevails in Reverse Churning Suit, Morgan Stanley Wins TROs, and More
Most popular stories from July 7 to July 13
Mario Lamar and Carlos Bonzon, who were managing some $1 billion of assets, will operate from Morgan Stanley offices in Miami and New York after nine years with J.P. Morgan.
Michael Kanner, a top-ranked “next generation” broker in Florida, left Morgan Stanley on Thursday to set up an independent practice.
Oregon court moves swiftly to curb advisor who joined UBS from calling on clients he allegedly inherited from a retiring Morgan Staley broker.
The departure of Eddie Ortea on Wednesday from a Boca Raton office underscores the continuing pressure on wirehouse branch managers to prod more productivity from a shrinking number of producers.
Maryland broker with less than a decade of experience agreed to refrain from soliciting his former firm’s clients at his new independent-broker firm.
Most popular stories from June 23 to June 29.
RSA Group led by Neil Rubenstein and James Sandfort is first in Texas for Greg Fleming’s family office venture, comes same day as Merrill lost $736,000 producer in New York to Morgan Stanley.
Million-dollar team in Illinois shifts to rival wirehouse in relatively rare move.
Forty-three year industry veteran said the firm violated California law by permanently reassigning clients to a younger broker and failing to honor his employment contract.
Benjamin Joel agrees with his former firm to a court order restraining him from soliciting former clients to his new practice at RBC, though immediate family members and customers who already signed ACATS forms are excluded, in conformance with Finra rules.