Cresset Leaving Broker Protocol in 2024 | Wealth Management
After rejoining the protocol earlier this year, Cresset’s withdrawal will be effective Jan. 1.
Source: wealthmanagement.com
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First Citizens Hopes To Halt Attrition As SVB Wealth Leaves Protocol
SVB's wealth unit will leave the Broker Protocol next week as First Citizens attempts to protect its newly-acquired client assets and workforce.
Source: wealthmanagement.com
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
Filing A Frivolous Customer Arbitration Carries Real Monetary Risks | Ulmer & Berne LLP
While the FINRA arbitration system certainly is not perfect – just see Alan’s troubling blog from last week regarding the Motion to Vacate that was granted by a Judge in Atlanta – we...
Source: jdsupra.com
J.P. Morgan Offers "Clarification" on Place in Broker Protocol
Wealthmanagement.com, Christine M. Conboy, VP and assistant general counsel at J.P. Morgan, sought to make those internal divisions clearer. She wrote that the bank's participation in the agreement applies only to “registered representatives in the J.P. Morgan Advisors line of business” with the title of “wealth partner” or “wealth advisor.” “No other divisions, businesses or employees of JPMS or its corporate affiliates or parents are covered by the Protocol,” the letter read. “That means that registered representatives working in Chase Wealth Management, JPMorgan Private ...
Source: wealthmanagement.com