How Can Financial Advisor Firms Protect their Customer Lists?
California law is making it increasingly difficult to stop departing employees from soliciting customers after going to a competing firm.
Source: wealthmanagement.com
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J.P. Morgan loses restraining order request for Wells Fargo Advisor
The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.
Source: financial-planning.com
Mindy Diamond: Top UBS Team on Their Shift to Wells Fargo Advisors
Vince Finney and Joe Panfil of Bibler, Finney, Panfil Private Wealth Management Group left UBS for Wells Fargo Advisors with partner Ryan Bibler in 2018.
Source: wealthmanagement.com
Hightower files lawsuits against ex-advisors | Financial Planning
The firm that helped dozens of practices go independent is using the tactic most often deployed by its previous main rivals.
Source: financial-planning.com
TradePMR Rolls Out Improved Digital Transition Tool
The custodian has sought to streamline the often 'archaic and onerous' process of onboarding advisors and clients. The custodian TradePMR announced availability Wednesday of an improved digital account transfer tool to be used by registered investment advisors and breakaway brokers when transitioning. The new tool, part of TradePMR's Fusion platform, is meant to streamline the often clunky, error-prone, and time-consuming process that advisors and clients experience when moving from one custodian to another or when leaving one brokerage for a new one. According to the firm, advisors can...
Source: wealthmanagement.com