Broker claims he had an agreement to get half of his book of business back if he returned to work.
The SEC alleges that Brian Hirsch subverted allocation policies and procedures at two brokerage firms.
Executives formerly of Morgan Stanley, Smith Barney find success recruiting teams from their old firms.
Wirehouse's pursuit of New Jersey broker through courts shows firm intends to enforce non-solicitation agreements, experts say.
New Jersey broker John Fitzgerald left for Commonwealth Financial Network last week.
Brokerage trade group aims to establish working principles on data that involve access and permissions.
With $18 billion in assets, FS Investments and KKR will have the largest BDC on the market.
Since the SEC bar in 2010, Barry Kornfeld has sold commercial mortgage loans of the Woodbridge Group of Companies, which filed for Chapter 11 bankruptcy and has stopped paying investor distributions.
Report from rival firm says wirehouse stands to benefit from lower recruiting costs.
The "income, diversify and interest rate" pitch was never the main draw for brokers.
