Broker Protocol

In court response, LPL warns victory for Ameriprise would "chill" advisors' ability to move from one independent broker-dealer to another.

The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.

The current arrangement is anti-fiduciary and could put a drag on the wealth management boom, writes Kevin Armstrong.

The dispute highlights the complicated nature of non-solicitation carve-outs when advisors switch firms.

It’s complicated, but possible, to limit risk and liability when moving a practice.

The legal tussle represents the latest effort by a brokerage firm to enforce non-solicitation agreements against advisors.

Firms' legal brawls with departing advisors don’t exactly enhance their stature among clients. But there's reason to think this may become a thing of the past, writes recruiter Mark Elzweig.

Pressing the bank for examples of non-solicitation violations, the judge cut off JPMorgan’s attorney: “you are dancing all around my question.”

A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.

Advisors typically take most of their clients with them when they go independent, but not all of them do.