A “relationship manager” and an analyst who left a large team in Miami are not protected by the Protocol for Broker Recruiting, brokerage firm says.
Customer who won settlement over allegedly unsuitable private REIT investments persisted in opposing Royal Alliance’s bid to expunge case from its former broker’s records.
The self-regulator could step in if the SEC fails to mandate a stronger customer-care rule for brokers, Robert W. Cook said.
Arbitrators call Wells “disingenuous” in arguing that an amendment extending a forgivable loan agreement benefited the broker and not the firm.
Departure comes as firm unveils new national “bullish” ad campaign.
Most popular stories from March 19 to March 25.
Piwowar says consequences of investor confusion over the meaning of terms such as “financial advisor” are worth further study but not rule-makings any time soon.