Brokers Tuesday morning say they cannot get confirmations of trade executions or complete wire transfers, and self-directed Merrill Edge customers said they can’t access their accounts.
Shift of “office of supervisory jurisdiction” with about 30 advisors servicing $1 billion to LPL follows 10-year affiliation with unit of Advisor Group.
This Week’s Top Stories: Morgan Stanley Probes Inherited Accounts, Merrill Team Shifts to First Republic, and More
Most popular stories from November 15 to November 21.
Atlanta wealth management banker wins expungement of report that she was fired for enrolling customers in unasked-for insurance policies, something Wells allegedly encouraged.
Arbitrators deny fraud claim involving an options “overlay” strategy devised by New York team that allegedly cost investors millions of dollars in losses.