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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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In the News

UBS wins $1.1M from Wells Fargo in data theft case

Posted by Howard Diamond

On Wall Street

Howard Diamond Quoted
By William Sprouse

A FINRA arbitration panel ruled a Wells Fargo adviser and the wirehouse liable for $1.1 million in damages over allegations he stole client data from UBS.

Howard Diamond, managing director and general counsel with adviser recruiting firm Diamond Consultants, says the number of disputes between advisers and their former employers has fallen since the protocol was enacted in 2004. However, conflicts still arise.

“They’re more common than they should be, unfortunately,” Diamond says.

Read more…

 

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About Howard Diamond

Chief Operating Officer and General Counsel – A legal and business background combined with over a decade of experience in the wealth advisory space. Already a successful lawyer and litigator, the growth of Diamond Consultants presented a new career opportunity for Howard in 2005. Learn more...

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