News, Vision & Voice for the Advisory Community


Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth

The high-profile startup may have passed up chance to win its case, an attorney says

Author Brooke Southall January 25, 2011 at 3:18 PM
no description available
Shirl Penney: We are very satisfied with the terms of the agreement.

Shirl Penney


Pat Burns

Jeff Spears

Jeff Spears

January 25, 2011 — 4:37 PM

Happy for Mike Brown.

His professionalism and ethics are beyond reproach! BofA was smart to settle.



June 26, 2014 — 7:18 AM

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June 26, 2014 — 8:44 AM

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Related Moves

September 21, 2023 at 1:53 AM

Executive shake-up and staff hiring binge change Dynasty Financial Partners' talent mix, with Todd Thomson, Scott Welch, Ed Friedman and 12 women as headliners

The St. Petersburg-based producer of 'synthetic RIA scale' will continue to aggressively hire and adjust its talent ranks as it readies for next growth push.

September 24, 2019 at 2:02 AM

Tim Oden departed Schwab after 37 years and was flooded with industry offers, but Shirl Penney made one he couldn't refuse -- a seat at the table

The RIA sales wizard joined Dynasty Financial Partners with understanding he would leave sales behind and earn his keep by focusing on strategic ideas.

February 22, 2024 at 2:20 AM

Goldman Sachs-Creative Planning deal is bleeding defectors -- 16 more last week, report says -- auguring a 'potential disaster,' analysts warn

Dozens of former 'United Capital' advisors are fleeing at once, but Peter Mallouk is still battling to keep them, and Goldman Sachs may play legal hardball, sources say.

October 4, 2023 at 2:16 AM

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Mentioned in this article:

The Law Offices of Patrick J. Burns, Jr., P.C.
Specialized Breakaway Service
Top Executive: Patrick J. Burns, Jr., Esq.

Advanced Regulatory Compliance, LLC
Compliance Expert
Top Executive: Patrick J. Burns, Jr., J.D.

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