Tr?id=566623520170033&ev=PageView&noscript=1

Tagged with "feature"

Morgan Stanley Hit With Another Deferred Compensation Claim

Posted on March 29th, 2022 at 12:18 PM
Morgan Stanley Hit With Another Deferred Compensation Claim

Morgan Stanley’s legal woes over its withholding of deferred compensation from brokers who leave for another firm are multiplying. Attorney James Eccleston stressed that a threat still persists in the federal proposed class action that Morgan Stanley will persuade the court to compel the plaintiffs to arbitrate.

 
 
 
 
 

Read More »

DocuSign Use Dooms “Swath” of LPL Brokers

Posted on February 17th, 2022 at 10:04 AM
DocuSign Use Dooms “Swath” of LPL Brokers

LPL Financial, the largest independent broker-dealer by its sales force of close to 20,000, is terminating “a swath of brokers” over allegations related to their use of electronic signature software DocuSign, according to a lawyer and a recruiter working with affected brokers.

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

1781195016 Law
June 11, 2026
FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.

1781105914 Law
June 10, 2026
Ameriprise Reports Second Data Breach in Less Than Six Months

Ameriprise Financial recently disclosed another data breach, marking the second cybersecurity incident involving the firm in less than six months.

1781028252 Law
June 9, 2026
FINRA Arbitration Panel Orders &Partners and Broker to Pay Wells Fargo $1.25 Million

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered &Partners and broker David M.