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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.October 16
PresidentMark Elzweig Co. -
The discrimination case revolves around allegations of disparate treatment in the firm’s agency distribution channels.October 1
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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
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The advisor sold securities out of one account to buy a Camaro ZL1 — then resold the car to the same victim, the regulator alleges.August 31
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Pressing the bank for examples of non-solicitation violations, the judge cut off JPMorgan’s attorney: “you are dancing all around my question.”August 25
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It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.August 20
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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
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The St. Louis-based firm claims its rival “instructs incoming recruits to compile client information from their former firm” as a matter of course.August 4
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Current and former clients claim personal information, including Social Security and passport numbers, have been exposed due to negligence.August 3
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The asset manager’s culture is allegedly one in which women's careers are destined to stall and portfolio-manager ranks are reserved for white men, the lawsuit claims.July 28
