Lawsuits

The advisor, who penned a memoir about drug addiction, accuses the firm of wrongful termination.

The advisors agreed not to solicit clients and to return confidential information to the bank.

The lawsuit accused JPMorgan of sending white advisors to wealthier places while assigning black colleagues to less lucrative branches and denying them opportunities.

The two advisors have already transferred about $160 million in client assets, according to their former employer.

Jean McCrave Baxter claims colleagues made sexual jokes and she was denied advancement opportunities afforded to male co-workers.

Elkhorn Capital is being sued by investors who say its founder misrepresented a marketing relationship with Barclays.

Christopher Rollins worked for Goldman Sachs for 16 years and rose to be a managing director before the firm fired him in February 2017.

The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.

The firm allegedly hired and promoted fewer women than men and paid them less than their male counterparts.

The decision, involving advisors who jumped to Morgan Stanley from an RIA, holds that those who agree to give their employers advance notice before quitting aren’t absolved of that duty by the terms of the protocol.

The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.

Brian McIntyre said the regulator mostly sought to terminate older workers in a September wave of firings after FINRA lost a regulatory contract with the New York Stock Exchange in 2016.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

One JPMorgan client thought it was “odd and weird” that the advisor called during the Memorial Day holiday, on behalf of Merrill Lynch.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.

Ex-employee charges that African-Americans are denied opportunities at the brokerage giant in a climate of institutional discrimination.

Craig Schmell says the firm terminated him because of alcohol and drug addiction issues he had 30 years ago.