An employment agreement, including a one-paragraph amendment signed over a decade ago, now is playing a crucial role in ongoing litigation between Morgan Stanley and RBC.
Tagged with "Morgan Stanley"
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Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
Posted on February 25th, 2021 at 3:18 PM
Boca Raton Financial Advisor Terminated by Morgan Stanley
Posted on February 18th, 2021 at 9:12 AM
Morgan Stanley Dismisses Veteran Financial Advisor
Posted on February 15th, 2021 at 1:24 PM
Morgan Stanley Recovers Million Dollar Prom Note Balance from Advisor Who Represented Himself
Posted on February 5th, 2021 at 2:06 PM
A sole arbitrator held a Florida advisor liable for the full amount of a $984,000 promissory note. The award also orders the advisor to pay $23,000 in legal and filing costs.
Federal Court Grants Injunction Against Former Morgan Stanley Advisor Team
Posted on January 27th, 2021 at 3:12 PM
The Eccleston Law blog previously discussed the lawsuit filed by Morgan Stanley against its Former advisor team led by Wade Martin, as well as the counterclaim filed by the Martin team.
Morgan Stanley Terminates Another Advisor for Alleged Misconduct Related to Inherited Accounts
Posted on January 22nd, 2021 at 8:47 AM
In the fall of 2020, Morgan Stanley terminated 10 advisors following an internal review of the firm’s Former Advisor Program (“FAP”).
Advisor Team that Left Morgan Stanley Files Counterclaim Seeking to Prohibit Firm from Soliciting Clients
Posted on January 21st, 2021 at 3:33 PM
Last week in the Eccleston Law blog we discussed a lawsuit filed by Morgan Stanley against a team of Advisors led by Wade Martin.
Morgan Stanley Files Lawsuit Against $6 Million Team
Posted on January 14th, 2021 at 3:57 PM
A $6 million advisor team led by Wade Martin left Morgan Stanley to join RBC Wealth Management-U.S. in October 2020.
Former Morgan Stanley Advisor Files Lawsuit over Deferred Compensation
Posted on January 4th, 2021 at 3:54 PM
Matthew T. Shafer, a former advisor for Morgan Stanley Wealth Management, has filed a putative class action against Morgan Stanley, AdvisorHub reported.
Morgan Stanley Agrees to Settle FINRA Charge of Failure to Supervise
Posted on August 24th, 2020 at 10:04 AM
Morgan Stanley Wealth Management has reached an agreement with the Financial Industry Regulatory Authority (“FINRA”) to settle charges relating to alleged supervisory failures.
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