Articles Posted in Securities

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…