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The arbitrators based their ruling “on the defamatory nature of the information.”January 22
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The IBD fired Nathan Oeming the day after his arrest near a high school by an undercover special investigations unit.January 16
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“This didn’t seem like a very fair process,” says the ex-advisor, who was ordered to pay the firm $206,000 for breach of promissory note.January 8
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A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.December 10
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When an unusual recruiting deal between Credit Suisse and Wells Fargo went awry, years of broker frustration, severe attrition and litigation followed. Also at stake: Up to $245 million in back pay.
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Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.September 9
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The discount brokerage says the advisor’s primary duties after his notice of resignation were to “make himself available” to help transition his clients to other brokers.September 4
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The document further complicates an ongoing lawsuit that has already led to lost revenues at the leading turn-key asset management platform.September 3
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Claims and counterclaims fly as arbitration panel orders an advisor to repay $1.66 million in promissory notes, but that's not the last word in this nearly five-year long dispute.August 29
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John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.August 23
