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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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A court ruling may also potentially help dozens of other advisors in their efforts to claim what they say is millions in deferred compensation they are due.July 21
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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.July 20
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Earlier this year, FINRA arbitrators granted the former advisor’s expungement request, but still sided with the firm on its demands for repayment of two promissory notes.July 14
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Marylin Booker accuses the company of failing to support Black advisors and criticizes its use of mandatory arbitration to settle employee disputes.June 18
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SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.June 16
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The onetime CFP pleaded guilty to violating his parole after previously avoiding prison time through a plea deal in 2018.May 26
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Production companies claim fraudsters bilked them out of $3.5 million under the bank's watch.May 21
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Lawsuit claims woman advisor was denied revenue opportunities and administrative support amid an alleged climate of harassment and discrimination.April 30
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XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.April 23
