JPMorgan Loses FINRA Claim Against Departing Representatives
On October 22, 2020, a panel of FINRA arbitrators rejected claims brought by JPMorgan against three registered representatives–Nathan Shields, Mark…
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Financial Advisors on the Move Despite the Pandemic
In our March 2020 post, published soon after stay-at-home orders were issued across the country, we hypothesized that the pandemic…
Read MoreTHE BROKER PROTOCOL: NEW TREND EMERGING AS COURTS ALLOW BROKERS TO SERVICE FORMER CLIENTS?
Just last month, Florida federal Judge Tom Barber shot down Wells Fargo’s motion for an emergency temporary restraining order (“TRO”)…
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