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Independent wealth managers punish ex-financial advisors

Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.

United statesUnited kingdomBob oroDoc kennedyWayne bloomDana taormina clearyMichael policarBrian hamburgerLuke mckelvyJon henschenJames jay womackTony martinsJay womackMorgan stanleyCambridge investment researchSecurian financial services

The Big Mistake That Exposes Breakaway Advisors to Lawsuits

Too many brokers and advisors skip a crucial step when joining a firm legal experts like Brian Hamburger say.

United statesBrian hamburgerMax schatzowMichael policarHamburger law firmUs district courtWhat you needHamburger lawNorthern district

Hightower Advisors files lawsuit against RIA Michael Policar

Hightower Advisors has sued a departing RIA, alleging Michael Policar stole information and recruited clients when he left the firm.

United statesLouis diamondBob orosCharles faillaMichael policarMerrill lynchSovereign financial groupHightower advisorsDiamond consultants

Hightower s suit against $39 million RIA described as wirehouse 101

Hightower has sued a departing RIA with $39 million, charging him with stealing information and recruiting clients when he left the firm,

United statesLouis diamondBob orosCharles faillaMichael policarMerrill lynchSovereign financial groupHightower advisorsDiamond consultants

Advisor Execs Rip Hightower for Suing Breakaway RIA

LPL s Burt White likened the suit against Michael Policar to “hanging beheaded pirates in the harbor” as a warning.

United statesCook countyBurt whiteMichael policarInvestment solutionsFinancial industry regulatory authority brokercheckCircuit courtUs district courtWhat you needNorthern districtFinancial planningKyle happeBackstop compliancePenny phillipsJourney strategic wealthFinancial industry regulatory authority

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