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AdvisorLaw wins against FINRA in the case of A.G. Edwards & Sons, Inc. Feb 17, 2017

Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between:   Claimant  Case Number:           vs. Respondent A.G. Edwards & Sons, Inc.    Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs. Member  REPRESENTATION OF PARTIES For Claimant  (“Claimant”):  AdvisorLaw, Broomfield, Colorado.  For Respondent A.G. Edwards & Sons, Inc. (“Respondent”): Thomas Octavian Jacobs, Esq., Wells Fargo Law Department, San Francisco, …

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How to Save Your Reputation After a Meritless Customer Complaint

Original Article: wealthmanagement.com/marketing/how-save-your-reputation-after-meritless-customer-complaint Many wealth managers have spent years, if not decades, of their lives crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction” consume the landscape of a financial advisor’s marketing message. Over their tenure, an advisor’s “brand” can develop significant equity. This equity, embodied through their personal and business reputation, pays dividends …