When a registered representative (“Rep”) with a large book of customers voluntarily resigns from one firm to join another, the Rep’s old firm immediately assigns a replacement. Excited about the potential to keep the book, the replacement Rep frequently races to contact the customers and secure their business. And when some of those customers…
On March 21, 2019, the Illinois Supreme Court issued its long-anticipated decision in Van Dyke v. White, 2019 IL 121452. The 30-page opinion affirms the 2016 Appellate Court decision, which had overturned a Final Administrative Order from the Illinois Department of Securities…
Broker-Dealer & Investment Adviser Disputes Lawrence Kamin’s attorneys have achieved notable success advising and representing broker-dealers, registered investment advisers, clearing firms, proprietary trading firms, and other financial professionals in industry disputes and disputes involving the purchase and sale of securities or the rendering of investment advice. Our litigators have successfully defended claims brought by retail […]
