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Investment Advisor
June 2007
Thomas D. Giachetti
Look Before Leaping For financial advisors, there are many issues to be reviewed before making a decision to leave your current employer. Experienced counsel should be consulted. Every case has similarities, and every case has differences. mark for My Articles similar articles
Investment Advisor
August 2010
Thomas D. Giachetti
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. mark for My Articles similar articles
Registered Rep.
March 28, 2011
Kraus & Freedman
Got Protocol? Despite the large number of firms who are party to it, the broker protocol has certainly not stopped litigation with departing Registered Representatives. mark for My Articles similar articles
Investment Advisor
June 2007
If my Current Employer Chooses to go After me for Leaving, What Can I Expect? Typically, an employer will send a cease and desist letter to the advisor. This letter will remind the advisor that he has certain obligations set forth in the written agreement. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Melanie Waddell
Is the Protocol Long for This World? With Wall St. firms carving out 'exceptions,' Patrick Burns asks if a weakened Protocol can survive mark for My Articles similar articles
Registered Rep.
February 26, 2010
Christina Mucciolo
Some Predict Broker Protocol Overhaul Some lawyers and executives anticipate an overhaul to the broker protocol agreement, which has gotten unruly with the growing number of signatory firms, the rising number of exceptions attached to the agreement and the high rate of advisors switching firms these days. mark for My Articles similar articles
Registered Rep.
June 14, 2012
Mindy Diamond
Broker Protocol Booming As firm-switching among brokers rose to record levels over the past four years, the number of signatories exploded, growing almost 40 fold. Many of the new signatories are RIAs. mark for My Articles similar articles
Registered Rep.
November 6, 2008
Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when? mark for My Articles similar articles
Registered Rep.
October 28, 2008
Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement. mark for My Articles similar articles
Registered Rep.
October 30, 2008
Churchill & French
Merrill Lynch Says Broker Protocol Still Intact, Clarification Forthcoming Merrill Lynch financial advisors put off by non-compete language in the retention package they received last week -- who must now decide whether to sign it -- are getting assurances from Merrill that it's not as bad as they think. mark for My Articles similar articles
Registered Rep.
August 29, 2014
Mindy Diamond
Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs. mark for My Articles similar articles
On Wall Street
November 1, 2009
Thomas Lewis
It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes. mark for My Articles similar articles
On Wall Street
February 1, 2011
Alan J. Foxman
Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns. mark for My Articles similar articles
Registered Rep.
October 31, 2008
French & Churchill
If Bank of America Signs Protocol, It's Business As Usual. If Not, Maybe Not But Merrill Lynch advisors may not know whether BofA will sign it before they have to sign their own retention agreements. mark for My Articles similar articles
On Wall Street
December 1, 2008
Frances A. McMorris
Bank of America Gets on Board Bank of America finally gave in and agreed to join the industry-wide protocol in an effort to prevent an exodus of Merrill Lynch financial advisors. mark for My Articles similar articles
Registered Rep.
August 29, 2013
Mindy Diamond
Buying Growth Buying a book of business from a retiring advisor can be a good strategy, but read the fine print, and consider these points. mark for My Articles similar articles
Registered Rep.
October 1, 2006
Halah Touryalai
Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them. mark for My Articles similar articles
Registered Rep.
September 13, 2006
Halah Touryalai
Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact. mark for My Articles similar articles
On Wall Street
October 1, 2009
Carri Degenhardt-Burke
How to Avoid a Bad Match The delicate dance between advisor and manager during the recruiting process can break down at any time. mark for My Articles similar articles
Registered Rep.
September 1, 2004
David A. Gaffen
Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities. mark for My Articles similar articles
On Wall Street
April 1, 2011
Lorie Konish
U.S. Trust Defends Garden Policy, Codifies Processes Bank of America Corp. gave its U.S. Trust advisors notice in February that they were subject to "garden leave restrictions" if they left, sending shock waves through the industry. mark for My Articles similar articles
Investment Advisor
January 2010
James J. Green
BAIS Moves Reps to Merrill Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch, and then requested that FINRA withdraw BAIS's broker/dealer registration. mark for My Articles similar articles
Registered Rep.
March 1, 2007
Mindy Diamond
Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it. mark for My Articles similar articles
Registered Rep.
October 11, 2010
Susan Konig
Advisor Movement Should Pick Up in 2011, Experts Predict Aggressive and lucrative recruitment packages essentially prompted anyone who wanted a big check to move last year, Diamond says. mark for My Articles similar articles
Registered Rep.
March 1, 2008
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. mark for My Articles similar articles
Registered Rep.
September 4, 2013
David Armstrong
Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great. mark for My Articles similar articles
Registered Rep.
April 1, 2007
Broker Protocol for All? A judge's decision may make it a lot easier for brokers to leave protocol firms at a time when recruiting wars and transition packages are at their peak. mark for My Articles similar articles
Registered Rep.
April 1, 2003
David A. Gaffen
Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night. mark for My Articles similar articles
Registered Rep.
January 1, 2005
Mindy Diamond
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. mark for My Articles similar articles
Registered Rep.
November 1, 2004
The Fear of Pursuit Nonsolicitation agreements are commonplace in the brokerage industry. However, if you change firms and choose to contact clients, whether you will be pursued is a business decision that your former firm would have to make. mark for My Articles similar articles
Registered Rep.
May 26, 2006
Halah Touryalai
NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002. mark for My Articles similar articles
Registered Rep.
October 1, 2002
Jonathan P. Arfa
First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint? mark for My Articles similar articles
Registered Rep.
April 20, 2015
Mindy Diamond
An Advisor's Guide to Surviving Termination So what do you do to protect yourself? mark for My Articles similar articles
Investment Advisor
June 2008
Philip Palaveev
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. mark for My Articles similar articles
Financial Planning
November 1, 2011
John J. Bowen, Jr.
Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential. mark for My Articles similar articles
Financial Planning
September 1, 2008
John J Bowen Jr
Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre. mark for My Articles similar articles
Investment Advisor
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? mark for My Articles similar articles
Investment Advisor
May 2009
Kelli Cruz
Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown. mark for My Articles similar articles
Registered Rep.
February 25, 2013
David Geracioti
Cold Call with Jeff Spears Each broker leaves for a different reason that is unique to their business or personal situation. The reasons range from a corporate merger, compensation change, loss of a large client to a life event, such as a divorce or children moving out of the house. mark for My Articles similar articles
Investment Advisor
September 2008
Philip Palaveev
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. mark for My Articles similar articles
Registered Rep.
January 1, 2003
Jonathan P. Arfa
Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work. mark for My Articles similar articles
Financial Advisor
May 2006
Andrew Gluck
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. mark for My Articles similar articles
Registered Rep.
May 1, 2005
Mindy Diamond
What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle. mark for My Articles similar articles
Registered Rep.
December 1, 2004
Mindy Diamond
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. mark for My Articles similar articles
Financial Advisor
May 2011
Sherri Scordo
Frontline News Is the broker protocol being eroded... Fiduciary can be marketing tool to get high net worth clients... Americans unconfident about their retirement... mark for My Articles similar articles
Registered Rep.
March 12, 2010
Mindy Diamond
Break Back Brokers Over the last six months, an interesting reverse shift is occurring: the RIA or independent b/d advisor who wants to return to (or go to for the first time) a wirehouse firm. mark for My Articles similar articles
Registered Rep.
February 11, 2010
Halah Touryalai
Victory For Broker in Citi Bonus Repayment Case A former Citi broker doesn't have to pay back the full amount owed on his sign-on bonus, a FINRA arbitration panel rules. mark for My Articles similar articles
The Motley Fool
August 2, 2005
Selena Maranjian
Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules. mark for My Articles similar articles
On Wall Street
April 1, 2010
Howard J. Stock
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles