Financial Firm's $1.4M Asset Hold Against Adviser Upheld
By Aaron Keller ( August 28, 2026, 5:19 PM EDT) -- A Connecticut appeals court Friday said a financial services firm properly secured a nearly $1.4 million asset hold against an adviser, agreeing the company showed a likely chance of proving during underlying Financial Industry Regulatory Authority arbitration that the adviser siphoned customers when transitioning to a new broker-dealer....
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