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RIA loses $10 million case against Raymond James the old-fashioned way

The case may have turned on the validity of written versus oral agreements

Thursday, August 18, 2011 – 4:36 AM by Lisa Shidler
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Brian Hamburger: Rowe faces an uphill battle if he relied on oral statements.

Related Moves

After recruitment of minorities and women gets CEO-level attention at Raymond James, a program gets a dynamic leader

With ratios stuck in the teens, CEO Paul Reilly gives chief marketing officer at subsidiary Carillon Tower Advisers, Renee Baker, her shot at mission impossible -- getting Advisor Inclusion Networks to live up to its Orwellian name

August 24, 2019 – 4:25 AM

Last year's RIA chief departs Raymond James after ship sails without her at helm of RIA unit, leaving her anchored to COO role

Maria Daley took the reins after Bill Van Law's unexpected departure, but Greg Bruce came on in March to lead RIA Unit, a job she held on interim basis

June 6, 2019 – 2:16 AM

Raymond James finally names new RIA chief and, yes, he is a Schwab veteran

The St. Petersburg, Fla. broker-dealer parted ways with Bill Van Law -- a Merrill Lynch veteran -- a year ago; now it has a real RIA veteran in Greg Bruce

March 4, 2019 – 11:54 PM



Mentioned in this article:

MarketCounsel | Hamburger Law Firm
Consulting Firm, Compliance Expert, Legal Services for RIAs
Top Executive: Brian Hamburger

Raymond James Financial Inc.
Asset Custodian
Top Executive: Bill Van Law

Hamburger Law Firm
Specialized Breakaway Service, Mergers and Acquisition Firm, Legal Services for RIAs
Top Executive: Brian Hamburger




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