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'Forum-shopped' Texas judge, refusing to play along, torpedoes Wall Street's efforts to stay the DOL rule -- narrowing chances of an end run by Trump and stockbrokers

DOL rule's would-be killers face the quagmire of law-making; Chief Judge Barbara Lynn grilled DOL, promised that it signaled nothing, and that turned out to be true

Author Brooke Southall February 9, 2017 at 2:46 AM
1 Comment
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Marcia Wagner: This could be her saying: we're independent.

RIA Compliance

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Women of Wealth Management


Stephen Winks

Stephen Winks

February 12, 2017 — 3:29 PM
Judge Lynn establishes that self serving industry rhetoric is no longer accepted at face value, marking the erosion of credibility resulting from the demonstrably false narrative counter to the best interest of the investing public of the brokerage/insurance lobby. SCW

Related Moves

August 5, 2020 at 9:33 PM

Another A-list RIA Schwabbie lands on his feet -- this time at DeVoe & Co. -- after TD Ameritrade merger displacement of 2,000-plus

Tony Parkin takes the reins as president of the San Francisco M&A shop and reunites with ex-Schwab boss who left 14 years ago

May 10, 2024 at 1:29 AM

A canary in the coal mine, Amy Richardson left Charles Schwab & Co. for an RIA -- before the 2,000 layoffs -- now a robust job market is saving the Schwab diaspora, she says

The former Schwab director wants former colleagues to know life exists after Schwab and good job opportunities are plentiful in the financial services sector.

December 20, 2023 at 1:52 AM

Schwab 2,000-layoff aftershocks roil the industry as it's revealed top tech talent -- led by widely regarded veteran Kartik Srinivasan -- were axed, raising questions about future of Schwab innovation

Behind every layoff a human story as pink slip to an 'unbelievable talent' epitomizes company's determination to cut $500 million in expenses.

November 3, 2023 at 3:49 AM

See more related moves

Mentioned in this article:

TD Ameritrade
Asset Custodian
Top Executive: Tom Nally

Pension Resource Institute, LLC
Compliance Expert
Top Executive: Jason C. Roberts

Fiduciary Law Center
Legal Services for RIAs
Top Executive: Jason C. Roberts



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