Articles Posted in Broker Disputes

Not Just About the Past: Financial Advisors Must Also Focus on New Firm & Deal
Joshua Iacuone

Financial Advisors rightly seek legal help in navigating the departure from their current Firm, whether Protocol or non-Protocol, about solicitation, compensation / Notes, and U5 issues.  It is shocking, however, how unfocused Financial Advisors are about the finer deal points (i.e., other than the financials – frontends/backends) and legalese for the new Firm.  Often, Financial…

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