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With Backing from Schwab and Dynasty, RIA Breakaway OpenArc Fires Back at Merrill Lawsuit
['Mon', 'September', 'At Pm Gmt', 'Min Read']
Yahoo Finance
OpenArc, the advisors argue, had become part of the Broker Protocol when the client information was gathered.
Merrill accused the lead advisors, Dynasty and Schwab, of running a “premeditated corporate raid” that could do “irreparable harm” to Merrill.
The group left to form Atlanta-based OpenArc, part of the Dynasty network, which is also a minority investor, and custody with Charles Schwab.
The defendants’ response and the attached declarations also dispute ownership of the clients.
Dynasty Financial backed the defendants in its response to the lawsuit, noting that they had followed the Broker Protocol, just like any other breakaway advisor team.