Two LPL clients in Texas seek over $1 million in damages in court, claiming churning and overcharging for mutual funds.
Most popular stories and comments from May 15th through 20th.
Duo in Atlanta with more than $9 million of production move to wirehouse after nine years with the smaller firm.
Broker-dealers dodged damage in last week’s ransomware attack but regulators say it should be serious wake-up call.
Wirehouse asks court for restraining order against a producing manager and partner who allegedly contributed 40% of their former branch’s production.
Panel denied claims of misrepresentations during recruiting, orders return of $621,000.