Tagged with "John VanEngelenhoven"

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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