-
The firm’s talent-analytics associate director had claimed the company hired fewer women than men and that she was paid less than her male counterparts.September 18
-
The bank was seeking to overturn some $400,000 in attorney fees awarded to four advisors as part of a $2 million case.September 17
-
Yes, they’ll be going up in September — but not as much as you may have heard.August 14
-
The advisor is asking a judge to reconsider the order, saying he wasn’t given a chance to defend himself against accusations of violating a non-solicitation agreement.August 11
-
A court ruling may also potentially help dozens of other advisors in their efforts to claim what they say is millions in deferred compensation they are due.July 21
-
Earlier this year, FINRA arbitrators granted the former advisor’s expungement request, but still sided with the firm on its demands for repayment of two promissory notes.July 14
-
The lost assets represent a big hit to the firm’s operations in the small Missouri town where the advisor was based, ex-employer claims.May 6
-
The policy change may prompt more defendants to reach settlements, an attorney says.March 25
-
Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.March 17
-
Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?March 17
