Firms Continue Aggressive Tactics Against Departing Advisors
Both Protocol and Non-Protocol firms have continued their sue-first-ask-questions-later litigation strategy against departing advisors, and advisors should be on high…
Read MoreMonth: November 2018
Former Wells Fargo Advisor Wins $750,000 FINRA Award in Deferred Compensation Claim
On December 5th, a Financial Industry Regulatory Authority (FINRA) panel in New York city awarded a former Wells Fargo financial…
Read MoreEx-Wells Fargo Advisor Granted Class Cert in Claim for Deferred Compensation
Robert Berry worked as a financial advisor for Wells Fargo Advisors, LLC from 1994 until 2014. From 2005 to 2014,…
Read MoreFINRA Promissory Note Claims: Not Always a Slam Dunk Win for the Firm
For the past 15+ years, it was extremely common for firms to recruit high-producing financial advisors and teams from one…
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