Rollup firm, whose private equity owner is believed to be in merger negotiations, sued an advisor last week who joined a rival RIA group.
Three-million-dollar producers who spent their careers with the Thundering Herd wanted to stay with a wirehouse, while more junior team starts independent advisory practice.
Former wirehouse advisor wins expungement of Raymond James’ allegation that it fired him for violating the Protocol for Broker Recruiting by having excess client information when he joined from Merrill Lynch.
Michigan woman, 63, asserts that she was railroaded over e-mails sent to Schwab’s RIA clients about company policies.
Lawyers seeking compensation for victims of his alleged sex crimes are calling for a freeze on the estate, raising the prospect of a legal process that could drag out for years.
Paramus team opened West Coast bank’s first wealth branch in the Garden State on Friday, the same day UBS hired a $1-million, 29-year industry veteran in Ohio from Morgan Stanley.
This Week’s Top Stories: Fidelity’s Battle for Cash, Edward Jones ‘Reverse Churning’ Suit Lives on, and More
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Wells Fargo and a broker now with Raymond James are ordered to pay almost $170,000 for failing to disclose the “significant and unnecessary” tax impact of recommendation to sell out a stock position.