Litigation

Judge temporarily barred the advisor from soliciting former clients ahead of a FINRA arbitration hearing.

It’s the sixth time so far this year that former Credit Suisse advisors have won damages against the firm.

The bank has filed similar lawsuits this year over alleged non-solicitation violations against advisors who departed for competitors.

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.

The dispute involves dueling claims of fiduciary responsibilities.

The Philadelphia-based firm takes round one in a complaint involving Broker Protocol and debt issues.

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.

It’s the latest victory for brokers fighting to reclaim pay withheld by a former employer.

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.

The document further complicates an ongoing lawsuit that has already led to lost revenues at the leading turn-key asset management platform.

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.

John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.

One of the clients who filed the claim is still trying to withdraw money from non-traded investments he says were never explained to him.

Advisor Andy Saeger reportedly reached out to two clients via email and a LinkedIn message.

The then 61-year-old employee says she got written warnings for infractions while younger colleagues went undisciplined.

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.

The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.

An ex-client accused the firm of misconduct, including disbursing funds to her former spouse from a restricted account without her knowledge or authorization.