U.S. District Judge Susan Brnovich wrote that Ameriprise failed to elevate its claims that the defendants had violated the Broker Protocol (with LPL’s support) “beyond mere speculation.”
The Utah-based broker petitioned the nation’s highest court to consider hearing its appeal questioning the self-regulatory organization’s constitutionality. One securities attorney questions whether the Court will do so—at least for now.
Amy Fox joined the firm in 2022 as a transition support client specialist. However, according to the lawsuit, she was treated “less favorably” after she became pregnant in 2023.
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