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FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.January 22
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The arbitrators based their ruling “on the defamatory nature of the information.”January 22
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“This didn’t seem like a very fair process,” says the ex-advisor, who was ordered to pay the firm $206,000 for breach of promissory note.January 8
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A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.December 10
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When an unusual recruiting deal between Credit Suisse and Wells Fargo went awry, years of broker frustration, severe attrition and litigation followed. Also at stake: Up to $245 million in back pay.
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The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.October 17
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BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.October 17
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The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.September 12
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The discount brokerage says the advisor’s primary duties after his notice of resignation were to “make himself available” to help transition his clients to other brokers.September 4
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Due to a 2010 FINRA rule change the answer is — with difficulty.August 30
