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Recruited away from Wells Fargo, Carnegie Private Wealth is the largest team yet to join LPL’s SWS division, the IBD’s premium affiliation model that went live in April 2020.
The bank filed a petition asking a federal court to overturn the award to James D. Garrity, who worked for Credit Suisse for 15 years before joining Morgan Stanley in 2015.
The commission charged Kevin Kane and Sean Michael Kane for defrauding clients after they were fired from Waddell & Reed by telling them they left voluntarily.