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A Financial Industry Regulatory Authority (FINRA) arbitration panel announced Thursday it has ordered Raymond James and a former Wells Fargo advisor to pay
Raymond James concocted a "coordinated raid" on a Wells Fargo office in Arkansas, according to a FINRA arbitration award.
J.P. Morgan Securities filed two suits against several different Arizona advisors who allegedly solicited clients after moving to Wells Fargo and Ameriprise.
An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.