 If the broker walks away and they don't pursue the note, then they think, 'Well, if we don't pursue this, then what's to stop the next guy from also walking away?'James Mann, former FINRA arbitrator and Merrill Lynch compliance officer |
In battle over bonuses, why so many advisers lose it all in arbitration
Andrew Welsch | OnWallStreet, December 2016
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Summary: Business was looking up for Mark Immel in January. The longtime adviser had just won a $450,000 arbitration case against his former employer, Raymond James & Associates, after a tumultuous four years that had cost him tens of thousands of dollars and many sleepless nights.
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