In what has become something of a rarity in the financial industry, two major brokerage houses are embroiled in a legal dispute over a breakaway broker who took a book of business with her when she switched firms.
The case, currently working its way through the FINRA arbitration process, stems from a complaint Oppenheimer brought against Ameriprise and a former employee, Deborah Goodermuth, seeking monetary relief and an injunction to bar her from soliciting her old clients.
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