Tagged with "finra arbitration"

Arbitrators deny ex-advisor chance to defend himself in Raymond James case

Posted on January 10th, 2020 at 9:08 AM
Arbitrators deny ex-advisor chance to defend himself in Raymond James case

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.

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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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LATEST NEWS AND ARTICLES

September 23, 2022
CFP Board Lifts Interim Suspension of Former UBS Advisor

The Certified Financial Planner Board of Standards (CFP Board) has lifted an interim suspension it had imposed against a former UBS advisor after criminal fraud charges against him were recently dismissed.

September 22, 2022
FINRA Penalizes Baird Over $100 Trading Commissions

The Financial Industry Regulatory Authority (FINRA) has ordered Robert W. Baird & Co. to pay $461,481 plus interest due to allegations that the firm overcharged its clients on thousands of equity transactions for at least one year.

September 21, 2022
FINRA Arbitrators Award Nearly $470,000 To Investors in UBS YES Product

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS to pay nearly $470,000 to clients who invested in a complex options strategy, known as the YES or Yield Enhancement Strategy.