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Nov 11, 2016

IN THE NEWS: J.P. Morgan Pursues Arbitration Case Against Advisors

I was recently interviewed by Fundfire, a financial services industry on-line publication, regarding J.P. Morgan obtaining a temporary restraining order as it pursues an arbitration case against seven advisors who left to launch an independent shop with LPL Financial. This is yet another case involving the protections of the industry’s agreement called the Protocol for Broker Recruiting. » Read More

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