They say everyone gets their day in court — except maybe Gregory Clark, a former Raymond James advisor whose FINRA arbitration case ended without his testimony, witnesses or evidence.
Tagged with "finra arbitration"
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Arbitrators deny ex-advisor chance to defend himself in Raymond James case
Posted on January 10th, 2020 at 9:08 AM
Schwab Accuses Former Adviser of Soliciting a Client
Posted on September 10th, 2019 at 1:52 PM
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.
Edward Jones Files Temporary Restraining Order Against Terminated Nebraska Financial Advisor
Posted on April 30th, 2019 at 4:50 PM
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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