Tag: securities employment law firm
UBS Wealth Management withdraws from Broker Protocol
Two Big Firms Exit Broker Protocol, Financial Advisors may be Vulnerable to Litigation UBS Wealth Management Americas is exiting the...
Ohio Financial Advisor Prevails in Securities Employment Dispute
According to reports, a securities arbitration panel recently ruled that Lincoln Financial Advisors Corp. must pay $2 million to Jeffrey...
Brokerage Firm Protocol for Broker Recruiting
Broker Protocol In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004...
Merrill Lynch Shifting Away From Small Accounts
It is being reported that the latest compensation changes being made by Merrill Lynch Wealth Management to encourage brokers to go after...
