Thank you for joining us for this year’s Financial Services Recruitment Litigation Conference. Resources for the program covering the latest trends and strategies for the private wealth management sector in managing the legal challenges associated with recruiting and retaining talent are below.
- Agenda
- Case: Ballast Advisors v. Freedom Forever
- Case: Blue Rock Financial v. Whalen
- Case: Choreo v. Rowe
- Case: Chorio v. Compound Planning
- Case: Edelman Financial Engines v. Prime Capital
- Case: Hightower v. Kedir
- Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes
- NASD Notice to members 01-36 RFC July 2001 Interfering With Customer Account Transfers- Proposed Interpretive Material
- NASAA Statement on Brokerage Account Transfers November 2001
- Salomon & Ludwin, LLC v. Winters, 150 F.4th 268 (2025)
- 11-02078 FINRA Award – Janney Montgomery Scott
- 14-01797 FINRA Fulcrum Securities
- 17-02378 FINRA Stephens Inc.
- 23-00502 FINRA Stifel, Nicolaus
- Baird Patrick Award NASD Dispute
- Oppenheimer Raiding Defense Award FINRA Dispute
- Raiding in the Securities Industry – The Search for Consensus – Conference Report 2003