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On Wall Street October 1, 2010 Chris Kentouris	Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator.
Registered Rep. October 1, 2004	When the Loan Comes Due I switched firms three years ago, joining a wirehouse offering a seven-year forgivable loan as upfront payment. Since hiring on at the new firm, my production has nosedived. If I am fired, can my firm legally ask for the balance of the forgivable loan back?
Registered Rep. April 1, 2008 John Churchill	The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints.
Registered Rep. November 1, 2005	Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc.
The Motley Fool December 12, 2006 John Dutemple	What About My Health Insurance??! COBRAs? HIPAAs? It's a jungle out there. A job change is stressful enough without the worry of losing your health insurance. Here is a guide through the jungle of rules and options.
Registered Rep. March 1, 2008	Client Complaints: To Report Or Not To Report When a registered rep should report client complaints.
Financial Advisor July 2012 David Lawrence	Departing Employees Regardless of circumstances, you need a plan for handling transitions.
The Motley Fool April 26, 2007 Dan Caplinger	Don't Quit Your Health Insurance Quitting a job can elevate you to new heights in your career. To keep from paying the price, however, you need to make sure you bring your health insurance with you.
Registered Rep. February 1, 2005 Bill Singer	Short but Not Necessarily Sweet It's a heady moment when a rep leaves his firm. It also often sets in motion a series of showdowns over client ownership and compensation issues. One way to make things easier is to pay careful attention to your resignation letter.
Entrepreneur July 2005 Jacquelyn Lynn	You're Sued! If you have employees, you need Employment Practices Liability insurance.
Financial Planning September 1, 2006 Marianne Czernin	Compliance Tips Your Ongoing Commitment to the NASD: It's important to know that as a registered rep currently employed by a broker-dealer, your obligations to the NASD do not cease should you quit and decide to become a carpenter, congressman or pirate.
Registered Rep. April 5, 2012 Josh Brown	Data Dive: Where Brokers Get a Second Chance From Brightscope's research, we learn that Wells Fargo is the most "forgiving" of the large brokerages with a whopping 1.29% of their reps having been terminated before.
Registered Rep. August 1, 2004 Bill Singer	Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record.
Registered Rep. July 1, 2004 David A. Gaffen	The Great Compliance Witch Hunt! Many clean brokers jump firms, only to discover their old broker/dealer besmirched their U4s. In a business where client realtionships are at stake, things can get ugly very quickly.
Registered Rep. April 20, 2015 Mindy Diamond	An Advisor's Guide to Surviving Termination So what do you do to protect yourself?
Registered Rep. October 1, 2005	Foul or Fair Q: Am I correct in my belief that I was discriminated against regarding account distribution, training opportunities, marketing, support and partnership opportunities because I was a woman rep who wasn't aligned with a male partner to protect me?... A: Controversy permeates the securities industry... etc.
Financial Planning October 1, 2011 Jennifer Woods Burke	The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles.
AskMen.com Gregory Batts	How To Fire A Poor Performer For the most part, firing someone is not easy. If you find yourself in a position where you have to terminate someone's employment, take a deep breath and read (or re-read) this article.
On Wall Street November 1, 2012 Bill Willis	What to Do After You're Fired Steps you should take if you are terminated.
Registered Rep. July 1, 2004 Bill Singer	Alone In a Crowd Registered reps cannot count on their firms or the regulators to look out for them. Indeed, there's an argument to be made that these institutions cannot be relied upon to use common sense.
Entrepreneur August 2004 Jane Easter Bahls	Under Pressure If an employee feels forced to quit, it could be trouble. Here's how to avoid a "constructive discharge" lawsuit.
Job Journal September 30, 2007 Carole Kanchier	Career Pros: Before You Quit . . . Before you quit your job, consider this thoughtful advice.
Registered Rep. December 1, 2004	The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?...
AskMen.com Sean Hewitt	Reasons for Wrongful Dismissal So you've just been fired? Many states require that your boss have "good" or "just" cause for letting you go, and there is usually a set of laws that make clear which reasons for termination are unjust. Here are some guidelines.
Nursing Management April 2010 Lisa A. Gallagher	Revisiting HIPAA The Health Insurance Portability and Accountability Act of 1996 Privacy and Security Rules have been in effect since 2002-03.
Registered Rep. January 1, 2005 David A. Gaffen	Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place.
Financial Planning July 1, 2010 Jeanne Lee	The Sky Is Not Falling Small business clients have been hard-hit by increased healthcare expenditures over the past 10 years, so it's not surprising that the healthcare reform bill has many of them anxious and confused.
On Wall Street November 1, 2008 Alan J Foxman	Caught in the Middle In an arbitration lawsuit one advisor was named as respondent, one wasn't -- and now both have problems to deal with.
Job Journal August 17, 2008 Lindsey Novak	Career Pros: The Facts About Firings Employer rules and employee rights regarding terminations.
Registered Rep. November 29, 2012 Kevin McKinley	Getting Out of Health Care Limbo Many clients and prospects have already retired but are not yet eligible for Medicare. Here are their options for getting out of health care limbo.
AskMen.com Gregory Batts	Quitting Your Job Gracefully Some people change jobs like most of us change shirts. While changing jobs may be more acceptable today than it was 10 years ago, the way you should quit has not changed.
CFO November 1, 2008 Marie Leone	Flexing Your Muscle Executives should craft an employment contract that gives them the best deal.
On Wall Street January 1, 2012 Alan J. Foxman	The Disclosure Dilemma When and what needs to be disclosed on the U4?
Pharmaceutical Executive May 1, 2005 Steven Tarnoff	How to Keep Out of Regulatory Quicksand Pharma sales teams may soon need law degrees just to keep up with the changes in federal and state mandates.
On Wall Street September 1, 2013 Alan J. Foxman	Legal Expert Discusses Form U4 and Youthful Indiscretions Is a youthful indiscretion with a fake ID reportable on your U4? Do contributions from investors count toward a broker-dealer's net capital?
Commercial Investment Real Estate Jul/Aug 2015 Mary Stark-Hood	Property Casualty Insurance As a business owner, you know the importance of protecting your real estate business from financial loss. Some risks may be acceptable, but many are not.
Managed Care May 2002 David Humiston & Stephen M. Crane	Will Your State's Privacy Law Be Superseded by HIPAA? Careful interpretation required: Health plans operating in multiple states have a challenge sorting out where the federal law trumps state statutes
Entrepreneur September 2007 Chris Penttila	Buh-Bye Say hello to a better way of firing problem employees. Ideally, you want fired employees to leave with their box of stuff and their dignity, too.
Financial Planning September 1, 2009 Chanie Schwartz	Pink-Slip Blues A look at the financial issues that arise upon becoming unemployed, like insurance, stock options, and retirement plans, and the advice a financial advisor should provide.
Entrepreneur July 2006 Mark Henricks	Relative Worth Is it possible to fire a family member without inciting a feud?
PHONE+ February 17, 2010 Neil S. Ende	The Danger of Termination Clauses in Agent Agreements Most carrier agency agreements have been unclear at best and one-sided and oppressive at worst.
The Motley Fool September 18, 2007 Dan Caplinger	Health Insurance ... or Else Health insurance can protect you from huge medical bills. Yet for a variety of reasons, many people go without health insurance. Now, government leaders are taking a new approach toward making sure everyone gets the medical care they need.
Registered Rep. May 1, 2008 Bill Singer	The Smaller They Are, The Harder They Fall For all the day's talk about overhauling Wall Street regulation, committing to one simple step would go a long way: a guarantee of equal justice for all.
Registered Rep. October 1, 2004 David A. Gaffen	Are Forgivable Loans Next? Amid other industry-wide investigations by regulators, forgivable loans, or signing bonuses used to entice successful reps to leave one brokerage house for another, are now being scrutinized.
On Wall Street February 1, 2010 Alan J. Foxman	Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil.
Job Journal January 11, 2004 Marty Nemko	Why Your Boss Doesn't Praise You A manager's motive for not giving a "Good Job."
AskMen.com Pejman Ghadimi	How To Quit Your Job Regardless of whether you make $25,000 a year or $250,000 a year, quitting your job isn't easy, and surviving the time between not having a job and having success while being self-employed is the hardest part.
On Wall Street October 1, 2012 Alan J. Foxman	Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules.
Financial Planning November 1, 2006 Marianne Czernin	Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements.
The Motley Fool June 8, 2007 Brian Lawler	This Stupid Mistake Cost Me More Than $20,000 Going without health-care coverage can spell disaster for your finances. Even if you only intend to be without insurance for a few months, weeks, or days, it could end up costing you a lifetime of financial pain.