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February 19, 2019
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Blog
Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According to reports on Friday, several national broker-dealers, including Cetera Financial Group and NEXT Financial Group, are reportedly refusing to sign new agreements with Ohio National Financial Services Inc., during an ongoing dispute
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November 29, 2017
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Blog, Current Investigations
Two Big Firms Exit Broker Protocol, Financial Advisors may be Vulnerable to Litigation UBS Wealth Management Americas is exiting the Protocol for Broker Recruiting, also known as Broker Protocol, according to an announcement on Monday. According to reports, UBS executives informed their sales force of the
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April 13, 2012
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Blog, Securities Fraud
According to reports, a securities arbitration panel recently ruled that Lincoln Financial Advisors Corp. must pay $2 million to Jeffrey Concepcion, a broker who alleged that his company fired him and then damaged his professional reputation. Apparently, Concepcion had alleged he was fired after having arranged a
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January 18, 2012
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Blog, Securities Fraud
Broker Protocol In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004 three of the largest brokerage firms, Merrill Lynch, Citigroup, and UBS Financial Services formed the Protocol for Broker Recruiting also known as Broker Protocol. The Broker Protocol
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January 10, 2012
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Blog, Securities Fraud
It is being reported that the latest compensation changes being made by Merrill Lynch Wealth Management to encourage brokers to go after wealthier clients will include the raising of the minimum account size to $250,000 per household, from $100,000. Specifically, it appears that the firm will continue to pay advisers
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January 5, 2012
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Blog, Securities Fraud
Are you a financial advisor with potential employment claims against your former employer? If so, the securities attorneys of The White Law Group may be able to help. When it comes to attrition and general employment issues, the brokerage industry is just like any other. Unfortunately, financial advisors and other
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December 26, 2011
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Blog, Securities Fraud
U-5 Defamation Attorney- Updated on May 24, 2019 Are you a financial advisor with an erroneous U-5 entry? Do you need an experienced securities employment attorney to help you clean up your employment record? If so, the securities attorneys at The White Law Group may be able to help. According to the Financial
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October 13, 2011
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Blog, Securities Fraud
Help with Employment Disputes – Securities Attorneys at The White Law Group Are you a financial advisor with an employment dispute with your former employer? If so, The White Law Group may be able to help. The White Law Group has experience with all types of securities employment disputes. Typical types of
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July 22, 2011
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Blog, Securities Fraud
FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that might help brokers pursue class action employment claims (collective action claims). The Financial Industry Regulatory Authority Inc. wants to ban from its arbitration forums so called
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February 4, 2011
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Blog, Securities Fraud
Financial Advisor Attorney – FINRA Employment Lawyer The White Law Group represents financial advisors in a variety of securities / employment related disputes. As experienced securities attorneys, employment law is a natural part of the firm’s practice. The firm represents financial advisors throughout the
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