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Morgan Stanley had gone to the Second Circuit Court of Appeals to fight a lower court's finding that its deferred compensation policies fall under federal retirement law.
July 10 -
Many former college athletes will receive large lump sums, and current players face new NIL guidelines that come with large, officially sanctioned payments.
July 9 -
In separate cases, two federal judges found that neither Wells Fargo nor LPL had a fiduciary obligation to look for clients' best interests with uninvested cash held in brokerage accounts.
July 2 -
Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.
June 16 -
Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.
June 9 -
Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.
June 3 -
The decision comes as a victory for FINRA in a series of legal assaults meant to undercut the authority of self-regulatory organizations.
June 2 -
Regulators discovered Julie Darrah had been siphoning millions from elderly clients after WEG bought her practice in 2021.
May 21 -
The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
May 20 -
The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.
May 9