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Tagged with "Financial Planning"

Brokers Must Proceed With Caution When Going Independent

Posted on June 23rd, 2017 at 9:22 AM
Brokers Must Proceed With Caution When Going Independent

Bob Veres, a columnist for Financing Planning, has published an article which outlines issues for brokers to consider when deciding to go independent.  

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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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