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Tagged with "finra arbitration"

Schwab Accuses Former Adviser of Soliciting a Client

Posted on September 10th, 2019 at 1:52 PM
Schwab Accuses Former Adviser of Soliciting a Client

Adviser John VanEngelenhoven left his employer, Charles Schwab, to open an RIA that custodies with TD Ameritrade Institutional. Now he faces a FINRA arbitration and preliminary injunction as Schwab accuses him of soliciting at least one of the company’s clients. VanEngelenhoven is among several ex-Schwab advisors who have been taken to court this year over client solicitation.

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Edward Jones Files Temporary Restraining Order Against Terminated Nebraska Financial Advisor

Posted on April 30th, 2019 at 4:50 PM
Edward Jones Files Temporary Restraining Order Against Terminated Nebraska Financial Advisor

Edward D. Jones & Co. has filed a temporary restraining order (TRO) in the U.S. District Court in Omaha to prevent a Nebraska financial advisor from communicating with clients whose account and contact information he allegedly printed out a day before he was terminated by the firm.

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