A former JPMorgan financial advisor is taking legal action against the firm, alleging wrongful termination after her breast cancer diagnosis prevented her return to work.
RBC, Stifel and TD Ameritrade were also among the settling firms. They charged about $19 million when processing small-dollar equity transactions and trades.
The minority RIA investor has hired Lara Galloway to lead organic growth strategy and training for partnered firms, and Melinda Brodbeck as head of communications.
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