Stifel Nicolaus Gets A Token Fine For Raiding AG Edwards Hot
Write Review
Compared to the $36 million Wells Fargo -- which inherited A.G. Edwards when it absorbed Wachovia back in the credit crunch -- wanted, the award is extremely small.
In fact, Stifel's CEO practically counts the slap on the wrist as a win for his firm.
Stifel used what's known in recruiting disputes as the "lifeboat defense," in which the new firm claims that brokers were on the move anyway and it was simply providing them a new place to run their businesses.
This Website Is For Financial Professionals Only
Despite Its Long Rap Sheet, Merrill Lynch Is Coopting The Fiduciary Message; Thundering Herd Will Beat A Glorious Path To Restoring Investor Trust
Commonwealth Financial Network Announces New Advisor Affiliation Models: You Can Be A Fee-Only RIA And Leverage The BD's Services
2012 Report Identifies Top Five Challenges For Broker-Dealers Along With Industry Trends And Best Practices
Lincoln Financial Advisor Defamation Case Highlights The Limitations Of Brokercheck
User reviews
There are no user reviews for this listing.
