BrokerHunter News Roundup: Op-Ed: What to Do After End of Broker Protocol Truce

Published: January 10 2018

 

 

Weekly Round-Up of Top Advisor Stories

 

 

 

 

 

 

 

 

 

 

Morgan Stanley Client Claims $929K of Apple Option Losses, Gets $80K

 

Morgan Stanley Client Claims $929K of Apple Option Losses, Gets $80K

 

Arbitrators award a fraction of the alleged losses, but include punitive damages and deny broker’s request for expungement.

 

Op-Ed: What to Do After End of Broker Protocol Truce

 

Op-Ed: What to Do After End of Broker Protocol Truce

 

As in the past, the keys to broker and client portability will be decided in courtrooms and arbitration forums, lawyer says.

 

L.A. Broker Leaves UBS, Post-Protocol, for Alex. Brown

 

L.A. Broker Leaves UBS, Post-Protocol, for Alex. Brown

 

High-net worth unit of Raymond James lures a broker and his assistant from the wirehouse three weeks after it left the industry pact.

 

 

 

 

 

 

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