Attorneys for Bennett filed a notice on Friday that they are seeking a review of the decision handed down late last month.
Private Wealth advisor whose Miami team is believed to have generated more than $10 million of annual revenue on $3.7 billion of client assets reportedly made unapproved political contribution to clean up his public regulatory record.
Slots two veteran field leaders into new complex roles in Texas Mountain division and hires experienced broker for branch that is part of new “community markets” business unit.
Schwab’s claim for an injunction comes as lawyers say non-solicitation disputes have mushroomed in the past year industry-wide.
Fidelity Investments said the number of retirement savers with at least $1 million in their account hit a record, as did the employee savings rate, according to data from 401(k) plans that it administers.
Farm Bureau Financial Services has hired a 27-year adviser managing about $100 million to introduce wealth services to some of its 540,000 client members.
Private client group advisor now with Morgan Stanley says he “vehemently denies” allegations of unsuitable trading and other charges that cost his former firm $14 million.