After Quiet Spell, Defection Lawsuits Make Comeback
February 25, 2010 Since the Protocol for Broker Recruiting was established in 2004, the practice of firms routinely suing one another when...

Finra Aims to Broaden Broker Check
February 18, 2010 The Financial Industry Regulatory Authority wants to expand the scope of its Broker Check service to better protect consumers...

Wells' Securities Unit Loses on Stifel Claim
December 22, 2009 Wachovia Securities has been ordered to pay $1.1M in attorneys' fees and costs after an arbitration panel dismissed its latest...

Branch Managers Return to Front Lines
November 2, 2009 As Morgan Stanley Smith Barney and UBS AG move to more complex management structures, some branch managers are scrambling to...

McCann Settles Lawsuit with Bank of America
October 1, 2009 Robert McCann has settled his lawsuit with his former employer today, clearing the way for him to possibly head up the U.S....