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Articles tagged "Thomas Lewis"


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Sharron Ash: If there's one rule about raiding it's this: there are no rules.

The odd case of MetLife's claim that it's being bullied by LPL

The $60 billion market-cap insurer alleges LPL was underhanded in luring away 60 employees -- but thousands have already left its broker-dealer without LPL's help

August 18, 2015 at 5:07 PM

Michael P. Kelly was incensed at the letter's stark language and the fact it had already been sent to clients.

How Schwab's firing of a small RIA as a client became a three-year legal ordeal (Part 1)

Michael Kelly is out to prove he was discriminated against based on his firm's size but Schwab execs say he crossed lines

November 20, 2014 at 9:41 PM

Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension

Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away

October 23, 2013 at 5:53 AM

Thomas B. Lewis: A new protocol might exclude non-wirehouses.

Broker Protocol signings regain momentum amid new signs that the wirehouses could shut the breakaway portal

Uneasiness over garden leave at BoA; is it s harbinger of a crackdown or an isolated event?

April 5, 2011 at 2:02 PM

Patrick J. Burns: I'm not sure the SEC or FINRA has the stomach for a return to the days of heavy litigation.

Broker Protocol may be endangered by complexities as membership starts to explode

Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend

January 29, 2010 at 4:59 AM

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