Tagged with "William Nicklin"

Ex-RIA owner loses $13M arbitration to broker-dealer C.L. King

Posted on December 7th, 2016 at 10:16 AM
Ex-RIA owner loses $13M arbitration to broker-dealer C.L. King

A broker-dealer's $13 million arbitration win against an ex-RIA owner is a stark example of how complex business relationships can turn adversarial — sometimes leading to years of legal wrangling by firms and burned clients as well as bankruptcy.

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